Responsibilities:

• To develop and implement compliance policy and review program covering the equities and futures businesses with particular emphasis on the 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
• 5 years of related working experience in financial industry holding SFCType 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 parties, please send FULL CV to coco.lam@levin.hk or contact us at 2520 0876.