Head Of Compliance
Futu Holdings Limited · Hong Kong
Apply by 9 Oct 2026
ApplyJob Description
Key Responsibilities: - Develop and maintain a comprehensive compliance program that addresses all relevant regulatory requirements and industry best practices. - Oversee the implementation and ongoing management of compliance policies, procedures, and controls across all business units. - Monitor changes in securities laws, regulations, and industry standards, and update the firm's compliance program accordingly. - Conduct regular risk assessments to identify potential compliance issues and develop mitigation strategies. - Manage and supervise the compliance team, providing guidance and support as needed. - Serve as the primary liaison with regulatory bodies, including the SEC, FINRA, and other relevant agencies. - Coordinate internal audits and regulatory examinations, and manage responses to regulatory inquiries and investigations. - Develop and deliver compliance training programs for employees at all levels of the organization. - Provide expert advice and guidance to senior management on compliance-related matters and potential business risks. - Oversee the firm's anti-money laundering (AML) and know-your-customer (KYC) programs. - Manage the compliance budget and resources effectively. - Prepare and present regular compliance reports to the Board of Directors and senior management.
Futu Holdings Limited
Hong Kong
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