We are looking for an experienced Manager, Compliance & Risk Management to drive strong governance and uphold high standards of compliance and risk management practices within the Company. The role involves providing advisory support on regulatory and risk management matters and business initiatives, promoting robust compliance culture, managing routine compliance-related activities, and strengthening the Company's overall compliance and risk management framework.
The ideal candidate should have a strong compliance background within the capital market industry, with experience dealing with Securities Commission Malaysia (SC) and Bursa Malaysia. Experience in risk management and team management will be an added advantage.
Responsibilities
- Develop, manage, maintain and implement compliance and risk management policies, procedures and controls governing Moomoo activities, ensuring alignment with applicable regulatory requirements.
- Oversee the compliance program and monitoring on business units, departments, and functions to identify any gaps or non-compliance issues, and provide advice and support on the remedial actions.
- Provide compliance and risk advice to business and functional teams on ongoing activities, new products/services, and strategic business initiatives.
- Support day-to-day compliance reviews, including transaction monitoring, trade surveillance, and marketing materials.
- Monitor developments in applicable laws, regulations, and guidelines, conduct impact analysis and communicate the updates to relevant stakeholders in a timely manner.
- Act as the primary compliance contact with Securities Commission Malaysia, Bursa Malaysia, and other relevant regulatory authorities on compliance matters.
- Conduct ongoing risk identification, monitoring, and reporting. Work with risk owners to implement appropriate mitigating and control measures.
- Prepare, review and submit regulatory reports to regulators and other applicable authorities.
- Prepare compliance and risk reports, management updates, and materials for board and committee meetings.
- Lead and manage a small team, including work planning, coaching, performance management, and day-to-day oversight.
- Work closely with business, operations, legal, product, and other internal stakeholders to actively identify and resolve compliance and risk issues while balancing regulatory requirements with business objectives.
- Perform other compliance or risk management related duties and responsibilities as assigned.
Requirements
- Bachelor’s degree in Law, Finance, Business, Risk Management, Compliance, or a related discipline.
- A minimum of 8 years of relevant experience in compliance, preferably within a stockbroking firm, investment bank, or other capital market intermediary.
- In-depth understanding of capital market laws, regulations, guidelines, and industry best practices.
- Strong analytical, problem-solving, and decision-making skills, with the ability to exercise sound judgement on complex compliance and risk matters.
- Candidates who have passed SIDC Modules 6, 7, 11,14 or 16 would have an added advantage.
- Language proficiency in English, Malay is a must, while Chinese/Mandarin is advantageous.
- Bumiputera candidates are encouraged to apply.
- Strong communication and stakeholder management skills, with the ability to work effectively across business and functional teams.
- Able to work independently in a fast-paced and evolving business environment.
- Strong sense of ownership and accountability.
Benefits
We offer a comprehensive and holistic work experience and package as follows:
- 13 months contractual bonus
- Competitive compensation & benefits.
- Performance bonus
- Convenient Access to Public Transport
- Exam/Certification Sponsorship
- Career Development Opportunities in the Financial Services Industry
- Company Team Building & Bonding Activities
- Free-Flow Pantry Snacks & Drinks
- Dynamic, Multinational Working Environment
Please note that only short-listed candidates will be contacted. Thank you.
Skills Required
- Bachelor’s degree in Law, Finance, Business, Risk Management, Compliance, or a related discipline
- Minimum 8 years of relevant compliance experience
- Experience within a stockbroking firm, investment bank, or other capital market intermediary
- In-depth understanding of capital market laws, regulations, guidelines, and industry best practices
- Strong analytical, problem-solving, and decision-making skills
- Passed SIDC Modules 6, 7, 11, 14, or 16
- English and Malay language proficiency
- Chinese or Mandarin language proficiency
- Strong communication and stakeholder management skills
- Ability to work independently in a fast-paced and evolving environment
- Strong sense of ownership and accountability
Futu Holdings Limited Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Futu Holdings Limited and has not been reviewed or approved by Futu Holdings Limited.
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Healthcare Strength — Health insurance in the U.S. arm is described as strong, with some accounts citing employer-paid premiums for employees. Core medical coverage is listed across U.S. roles.
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Retirement Support — Retirement programs are offered by region, including a U.S. 401(k) with employer contribution and Hong Kong MPF participation. PRC and Singapore roles align with statutory social insurance and CPF-related schemes.
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Equity Value & Accessibility — Equity compensation exists via a group share incentive plan, with some roles in U.S. subsidiaries receiving RSUs at hire. Where granted, equity can meaningfully augment total compensation.
Futu Holdings Limited Insights
What We Do
Futu Holdings Limited (Nasdaq: FUTU) is a leading fintech company committed to transforming the investing experience for investors worldwide. With a global presence across Hong Kong, Singapore, the U.S., Australia, Canada, Japan, Malaysia, and New Zealand, we serve over 26 million users through our one-stop digital platforms, Futubull and moomoo, enabling everyone to become a better investor on the go. At Futu, our mission remains unchanged since day 1: make investing easier and not alone. We empower investors of all levels to confidently navigate the market with all the essential tools and data to achieve their financial goals. Together, we strive to build a world where smarter investing is within reach for all.
