Compliance Assistant
於2021-11-05 瀏覽次數 70

Have you got an eye for details? Compliance Assistant Wanted!

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】
- Assist in day-to-day compliance matters including trade surveillance work
- Provide compliance advice and support business initiatives
- Handle regulatory reporting and inquiries with the relevant Exchanges and Regulators
- Carry out compliance testing for securities brokerage and other related businesses
- Assist in internal and external audit, inspections, and investigations from Exchanges and Regulators
- Assist in monitoring regulatory changes and update the policies and procedures
- 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
- Assist in ad hoc projects as required

【Job Requirements】
- University/College graduate
- Relevant work experience in the financial or securities industry is preferable
- Good command of written and spoken English and Chinese, proficiency in Putonghua is a privilege
- Proficiency in computer applications such as MS Office
- Responsible, hardworking, well-organized, and able to work under pressure
- A good team player with strong interpersonal and analytical skills

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


Have you got an eye for details? Compliance Assistant Wanted!
Futu Securities International (Hong Kong) Limited