{"id":14444,"date":"2026-04-17T10:45:46","date_gmt":"2026-04-17T02:45:46","guid":{"rendered":"https:\/\/www.levin.com.hk\/job\/compliance-manager-brokerage-prc-financial-firm\/"},"modified":"2026-04-17T10:46:58","modified_gmt":"2026-04-17T02:46:58","slug":"compliance-manager-brokerage-prc-financial-firm","status":"publish","type":"job_listing","link":"https:\/\/www.levin.com.hk\/zh-hant\/job\/compliance-manager-brokerage-prc-financial-firm\/","title":{"rendered":"Compliance Manager &#8211; Brokerage (PRC financial firm)"},"content":{"rendered":"<p><strong>Responsibilities:<\/strong><\/p>\n<ul>\n<li>To develop and implement compliance policies and review programs covering the <strong>equities and futures<\/strong> businesses, with particular emphasis on compliance with the relevant rules and regulations in Hong Kong<\/li>\n<li>Provide compliance guidance, conduct training and make recommendations for improvement areas to minimize compliance risk<\/li>\n<li>Advise business units on relevant compliance-related matters such as reviewing new products and marketing materials<\/li>\n<li>Participate in new product development and undertake projects when necessary<\/li>\n<li>Perform trade surveillance and other regular reviews to identify potential compliance or internal control issues<\/li>\n<li>Liaise with regulators, auditors, business and functional units on compliance issues<\/li>\n<li>To perform ad hoc projects as required<\/li>\n<\/ul>\n<p>Requirements:<\/p>\n<ul>\n<li>Bachelor or Master Degree holder in Law or other related disciplines<\/li>\n<li>Min. 5 years of related working experience in financial industry holding <strong>SFC<\/strong> <strong>T<\/strong><strong>ype 1, 2, 4, 5<\/strong> regulated activities, highly prefer in sizable Chinese securities firm \/ SFC would be advantages<\/li>\n<li>Familiar with Securities and Futures Ordinance and applicable statutory and regulatory requirements<\/li>\n<li>Good advisory and communication skills and ability to work under minimum supervision<\/li>\n<li>Good command of written and spoken English and Chinese, fluency in Putonghua<\/li>\n<\/ul>\n<p>Interested candidates please send your\u00a0<strong>CV<\/strong>\u00a0to<strong>\u00a0<a href=\"mailto:winsome.choi@levin.hk\">winsome.choi@levin.hk<\/a><\/strong><\/p>\n<p>For more job openings, please visit our website: www.levin.com.hk<\/p>\n","protected":false},"author":5,"featured_media":0,"template":"","meta":{"_job_location":"Admiralty","_application":"winsome.choi@levin.hk","_company_name":"","_company_website":"","_company_tagline":"","_company_twitter":"","_company_video":"","_filled":0,"_featured":0},"job-categories":[55],"job-types":[],"_links":{"self":[{"href":"https:\/\/www.levin.com.hk\/zh-hant\/wp-json\/wp\/v2\/job-listings\/14444"}],"collection":[{"href":"https:\/\/www.levin.com.hk\/zh-hant\/wp-json\/wp\/v2\/job-listings"}],"about":[{"href":"https:\/\/www.levin.com.hk\/zh-hant\/wp-json\/wp\/v2\/types\/job_listing"}],"author":[{"embeddable":true,"href":"https:\/\/www.levin.com.hk\/zh-hant\/wp-json\/wp\/v2\/users\/5"}],"wp:attachment":[{"href":"https:\/\/www.levin.com.hk\/zh-hant\/wp-json\/wp\/v2\/media?parent=14444"}],"wp:term":[{"taxonomy":"job_listing_category","embeddable":true,"href":"https:\/\/www.levin.com.hk\/zh-hant\/wp-json\/wp\/v2\/job-categories?post=14444"},{"taxonomy":"job_listing_type","embeddable":true,"href":"https:\/\/www.levin.com.hk\/zh-hant\/wp-json\/wp\/v2\/job-types?post=14444"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}