Compliance Manager
Solliciteren
Plaats
Brussel1000
Brussel
België
Contract
Vooltijds, Onbepaalde duurDatum gepubliceerd
2026-02-13Online to:
2026-04-14EUR 15.00 HOUR
Compliance Manager
- uSmart Securities Limited
- Brussel
- 3 uren geleden
uSMART盈立證券是香港新一代互聯網券商,通過技術創新和人工智能科技為投資者提供簡單,專業和低成本的全球投資服務。 uSMART盈立證券是香港持牌券商(中央編號:BJA907),持有香港證監會授予的1、4、6 、9號牌照,是香港證監會認可的全牌照優質券商,致力遵循香港金融法規保障投資者資產安全。
uSMART盈立證券的核心管理及金融科技團隊成員來自世界知名科技企業巨頭和知名金融機構,包括騰訊、阿里巴巴、微軟、雅虎、優步、法国巴黎银行、瑞士银行等。 uSMART盈立證券結合自身領先的人工智能和機器學習演算法为用户開發新一代移動證券交易APP (uSMART盈立智投),進一步優化投資者買賣證券的體驗,為投資者爭取獲得更佳回報機會。
uSMART Securities is a new generation of Internet brokers in Hong Kong that provides investors with simple, professional and low-cost global investment services through technological innovation and artificial intelligence technology.
uSMART Securities (CE no. BJA907) is licensed under The Securities and Futures Ordinance (Chapter 571), and allowed to carry on Type 1, Type 4, Type 6 and Type 9 regulated activities. We are committed to complying with Financial Services Compliance to safeguard investor asset and to provide excellent service. uSMART Securities' core management and financial technology team members come from world-renowned technology giants and well-known financial institutions, including Tencent, Alibaba, Microsoft, Yahoo, Uber, BNP Paribas, Swiss Bank, etc. uSMART Securities combines its leading artificial intelligence and machine learning algorithms to develop a new generation of mobile securities trading APP (uSMART) for investors, further optimizing the users' experience of securities trading and help seek for better returns.
Job Responsibilities
Advise department heads and relevant business units on compliance-related matters with major focus on type 2, 5 & 6 regulated activities.
Conduct compliance review and monitor business activities to ensure strict adherence to regulatory and internal requirements;
Design, implement, and enhance compliance policies, procedures, and controls.
Liaise with business, operations, IT, and risk management units, auditors, and regulatory authorities on compliance-related matters/issues
Maintain and update the firm's Restricted List and Watch List in strict accordance with inside information / MNPI regulation;
Assist in any other matters and projects as assigned by the head of compliance
Job Requirements
Degree holder in Law, Finance, Accounting, Business or related disciplines;
Minimum 5 years' working experience in financial institutions, with at least 3 years in type 2, 5 & 6 regulated activities.
Sound working knowledge of equities, futures, options and good knowledge of SFO, SFC codes and Guidelines, Listing Rules, Takeover Codes and the HKFE Rules and Regulations
Knowledge of QI, CRS and FATCA will be preferred.
Good command of written and spoken English and Chinese (Cantonese and Putonghua)
We offer attractive remuneration package to the right candidates. Interested parties please send your current and expected salary by email.
Data collected will be used for recruitment purpose only.
uSMART盈立證券的核心管理及金融科技團隊成員來自世界知名科技企業巨頭和知名金融機構,包括騰訊、阿里巴巴、微軟、雅虎、優步、法国巴黎银行、瑞士银行等。 uSMART盈立證券結合自身領先的人工智能和機器學習演算法为用户開發新一代移動證券交易APP (uSMART盈立智投),進一步優化投資者買賣證券的體驗,為投資者爭取獲得更佳回報機會。
uSMART Securities is a new generation of Internet brokers in Hong Kong that provides investors with simple, professional and low-cost global investment services through technological innovation and artificial intelligence technology.
uSMART Securities (CE no. BJA907) is licensed under The Securities and Futures Ordinance (Chapter 571), and allowed to carry on Type 1, Type 4, Type 6 and Type 9 regulated activities. We are committed to complying with Financial Services Compliance to safeguard investor asset and to provide excellent service. uSMART Securities' core management and financial technology team members come from world-renowned technology giants and well-known financial institutions, including Tencent, Alibaba, Microsoft, Yahoo, Uber, BNP Paribas, Swiss Bank, etc. uSMART Securities combines its leading artificial intelligence and machine learning algorithms to develop a new generation of mobile securities trading APP (uSMART) for investors, further optimizing the users' experience of securities trading and help seek for better returns.
Job Responsibilities
Advise department heads and relevant business units on compliance-related matters with major focus on type 2, 5 & 6 regulated activities.
Conduct compliance review and monitor business activities to ensure strict adherence to regulatory and internal requirements;
Design, implement, and enhance compliance policies, procedures, and controls.
Liaise with business, operations, IT, and risk management units, auditors, and regulatory authorities on compliance-related matters/issues
Maintain and update the firm's Restricted List and Watch List in strict accordance with inside information / MNPI regulation;
Assist in any other matters and projects as assigned by the head of compliance
Job Requirements
Degree holder in Law, Finance, Accounting, Business or related disciplines;
Minimum 5 years' working experience in financial institutions, with at least 3 years in type 2, 5 & 6 regulated activities.
Sound working knowledge of equities, futures, options and good knowledge of SFO, SFC codes and Guidelines, Listing Rules, Takeover Codes and the HKFE Rules and Regulations
Knowledge of QI, CRS and FATCA will be preferred.
Good command of written and spoken English and Chinese (Cantonese and Putonghua)
We offer attractive remuneration package to the right candidates. Interested parties please send your current and expected salary by email.
Data collected will be used for recruitment purpose only.
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