{"id":14484,"date":"2026-05-04T09:49:10","date_gmt":"2026-05-04T01:49:10","guid":{"rendered":"https:\/\/www.levin.com.hk\/job\/compliance-manager-prc-based-brokerage-co\/"},"modified":"2026-05-04T09:49:10","modified_gmt":"2026-05-04T01:49:10","slug":"compliance-manager-prc-based-brokerage-co","status":"publish","type":"job_listing","link":"https:\/\/www.levin.com.hk\/zh-hant\/job\/compliance-manager-prc-based-brokerage-co\/","title":{"rendered":"Compliance Manager &#8211; PRC based Brokerage Co."},"content":{"rendered":"<p><strong>Responsibilities:<\/strong><\/p>\n<ul>\n<li>Develop and implement compliance policy and review program covering our 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><strong>Requirements:<\/strong><\/p>\n<ul>\n<li>Bachelor or Master Degree holder in Law or other related disciplines;<\/li>\n<li><strong>Minimum 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;<\/strong><\/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 cv to <a href=\"mailto:suzanne.choi@levin.hk\"><strong>suzanne.choi@levin.hk<\/strong><\/a> or contact us at 25200104.<\/p>\n<p>For more job openings, please visit our Job Wonderland<strong> www.levin.com.hk<\/strong><\/p>\n","protected":false},"author":9,"featured_media":0,"template":"","meta":{"_job_location":"Admiralty","_application":"suzanne.choi@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\/14484"}],"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\/9"}],"wp:attachment":[{"href":"https:\/\/www.levin.com.hk\/zh-hant\/wp-json\/wp\/v2\/media?parent=14484"}],"wp:term":[{"taxonomy":"job_listing_category","embeddable":true,"href":"https:\/\/www.levin.com.hk\/zh-hant\/wp-json\/wp\/v2\/job-categories?post=14484"},{"taxonomy":"job_listing_type","embeddable":true,"href":"https:\/\/www.levin.com.hk\/zh-hant\/wp-json\/wp\/v2\/job-types?post=14484"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}