{"id":14446,"date":"2026-04-17T11:12:52","date_gmt":"2026-04-17T03:12:52","guid":{"rendered":"https:\/\/www.levin.com.hk\/job\/compliance-manager-prc-brokerage-1245\/"},"modified":"2026-06-30T10:22:15","modified_gmt":"2026-06-30T02:22:15","slug":"compliance-manager-prc-brokerage-1245","status":"publish","type":"job_listing","link":"https:\/\/www.levin.com.hk\/zh-hant\/job\/compliance-manager-prc-brokerage-1245\/","title":{"rendered":"Compliance Manager \u2013 PRC Brokerage SFC 1,2,4,5"},"content":{"rendered":"<p><strong>Responsibilities:<\/strong><\/p>\n<ul>\n<li>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<\/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>5 years of related working experience in financial industry holding\u00a0<strong>SFC<\/strong><strong>Type 1, 2, 4, 5<\/strong>\u00a0regulated 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 parties, please send FULL CV to coco.lam@levin.hk or contact us at 2520 0876.<\/p>\n","protected":false},"author":7,"featured_media":0,"template":"","meta":{"_job_location":"Admiralty","_application":"coco.lam@levin.hk","_company_name":"","_company_website":"","_company_tagline":"","_company_twitter":"","_company_video":"","_filled":0,"_featured":0},"job-categories":[56],"job-types":[],"_links":{"self":[{"href":"https:\/\/www.levin.com.hk\/zh-hant\/wp-json\/wp\/v2\/job-listings\/14446"}],"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\/7"}],"wp:attachment":[{"href":"https:\/\/www.levin.com.hk\/zh-hant\/wp-json\/wp\/v2\/media?parent=14446"}],"wp:term":[{"taxonomy":"job_listing_category","embeddable":true,"href":"https:\/\/www.levin.com.hk\/zh-hant\/wp-json\/wp\/v2\/job-categories?post=14446"},{"taxonomy":"job_listing_type","embeddable":true,"href":"https:\/\/www.levin.com.hk\/zh-hant\/wp-json\/wp\/v2\/job-types?post=14446"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}