Responsibilities:

• To develop and implement compliance policies and review programs covering the equities and futures businesses, with particular emphasis on compliance with the relevant rules and regulations in Hong Kong
• Provide compliance guidance, conduct training and make recommendations for improvement areas to minimize compliance risk
• Advise business units on relevant compliance-related matters such as reviewing new products and marketing materials
• Participate in new product development and undertake projects when necessary
• Perform trade surveillance and other regular reviews to identify potential compliance or internal control issues
• Liaise with regulators, auditors, business and functional units on compliance issues
• To perform ad hoc projects as required

Requirements:

• Bachelor or Master Degree holder in Law or other related disciplines
• Min. 5 years of related working experience in financial industry holding SFC Type 1, 2, 4, 5 regulated activities, highly prefer in sizable Chinese securities firm / SFC would be advantages
• Familiar with Securities and Futures Ordinance and applicable statutory and regulatory requirements
• Good advisory and communication skills and ability to work under minimum supervision
• Good command of written and spoken English and Chinese, fluency in Putonghua

Interested candidates please send your CV to winsome.choi@levin.hk

For more job openings, please visit our website: www.levin.com.hk