Futu Securities International (Hong Kong) Limited
Hong Kong, Hong Kong
(on-site)
Posted
2 days ago
Job Function
Legal Support
Description
Responsibilities :- Assist to supervise licensing related works and offer advice on licensing issues
- Provide compliance advice to the different business units in relation to securities brokerage and wealth management business
- Review and advise on legal and compliance contracts and documentation
- Handle and implement compliance requests with internal stakeholders to enhance the internal controls and procedures as well as the system of the Company
- Manage internal and external audit, enquiries, regulatory filings, inspections and investigations from the auditors, Exchanges and Regulators
- Conduct compliance training
- Perform ad hoc compliance projects as assigned
Requirements :
- Degree holder in Law, Business, Finance or related disciplines
- Minimum 5 years of compliance experience in financial institutions, and fintech company experience is an advantage
- Professional qualification on AML or compliance is an advantage
- Sound knowledge in rules and regulations of Securities and Futures Commission and relevant regulatory requirements
- Self-motivated, able to work independently, detailed oriented with good inter-personal skill and strong problem solving skills
- Proficiency in written and spoken English and Chinese (including Putonghua)
Job ID: 80906301
