Job ref no.: CT3124243-01#8631

Compliance Officer

Futu Securities International (Hong Kong) Limited

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

Responsibilities:

  • 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 
All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.
More job information
Job ref no. CT3124243-01#8631
Salary
Job Function
Industry
Location
  • Admiralty
Employment Term
  • Full-time
Experience
  • 2 years
Career Level
  • Entry level
Education
  • Degree