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Senior Compliance Officer
全職
於2021-11-05 瀏覽次數 54

Do you have high attention to detail? Join us as our Senior Compliance Officer!

Futu Securities International (Hong Kong) Limited

Futu Securities International (Hong Kong) Limited嘅成員 查看更多

  • Berry Lai
    行政/工商管理 (金融/會計,人力資源,其他)

What we do

We are a recognized Fintech Unicorn & Asia’s top-ranked online broker, providing a one-stop online investing services & experience.
Registered by Hong Kong's Securities and Futures Commission (CE No. AZT137), Futu redefines online brokerage services in Hong Kong & Mainland China with our leading internet & financial technology, we continue to improve customer experience and drive industrial innovation backed by our independent technological Research & Development capabilities on the whole trading process and our creative internet operating model.

Why we do

We are committed to optimizing today's securities services, by incorporating cutting-edge internet technology and design to provide investors an easy one-stop investing experience.

How we do

Our Core Values
- Integrity: Lead by example. Treat and handle problems fairly and objectively.
- Efficiency: Act as an efficient and trustworthy partner to offer more reliable products.
- Excellence: Anticipate and rapidly respond to customer needs.
- Perfection: Provide perfect services to customers. Always pay attention to details.

As a new team member

【Job Description】
- Provide compliance advice and support business initiatives
- Monitor regulatory changes and update the policies and procedures
- Handle regulatory reporting and inquires with the relevant Exchanges and Regulators
- Develop, manage and carry out compliance testing for securities brokerage and other related businesses
- Provide value-added recommendations for policy, process, and system enhancement to mitigate compliance risks
- Manage internal and external audits, inspections, and investigations from the auditors, Exchanges, and Regulators
- Liaise and collaborate with different departments to formulate, drive and implement remediation of compliance issues
- Conduct in-house compliance training
- Assist in ad hoc projects as required

【Job Requirements】
- Undergraduate Degree in Law, Accountancy, Finance, or related disciplines
- Minimum 3-5 years of work experience in brokerage firms, financial institutions, big 4 audit firms, or law firms experience is a plus
- Robust and solid understanding of SFC Code of Conducts and relevant regulatory requirements
- Knowledge of securities and investment products and their operations is a plus
- Preferable to have project management experience on implementation of new rules, products, or businesses
- Responsible, hardworking and well-organized
- A good team player with strong interpersonal and analytical skills as well as a high degree of professional maturity
- Excellent verbal and written communication skills both in Chinese and English, proficiency in Mandarin is a plus

Click 'I'm interested!' to get in touch! (Please fill out your profile before application, empty profiles will not be considered.)

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Do you have high attention to detail? Join us as our Senior Compliance Officer!
Futu Securities International (Hong Kong) Limited