Job ref no.: CT3124243-01#8631

Compliance Officer

Futu Securities International (Hong Kong) Limited

  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Medical plan


  • Provide compliance advice and support business initiatives
  • Monitor the regulatory changes and update the policies and procedures
  • Manage relationship with the relevant Exchanges and Regulators, handle regulatory reporting, inquiries and inspections
  • Handle licensing matters and registration work
  • Review sales and marketing materials on various products and services
  • Deliver in-house compliance training
  • Assist in ad hoc projects are required  

Requirement Qualification:

  • Undergraduate Degree in Law, Accountancy, Finance, or related disciplines
  • Minimum 1-2 years of work experience in law firms, brokerage firms or financial institutions, big 4 audit firm experience is a plus
  • Good understanding of SFC codes and regulatory requirements of securities brokerage and fund distribution
  • Knowledge of securities and investment products and its operation is a plus
  • Responsible,  hardworking and well-organized
  • A team player with strong communication and analytical skills as well as high degree of professional maturity
  • Excellent verbal and written communication skills both in Chinese and English, proficiency in Mandarin is a plus 
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More job information
Job ref no. CT3124243-01#8631
Job Function
  • Admiralty
Employment Term
  • Full-time
  • 2 years
Career Level
  • Entry level
  • Degree