Vice President, Regulatory Compliance (Compliance and Inspections)
Hong Kong Exchanges and Clearing Limited
Hong Kong, Hong Kong

The Regulatory Compliance Department seeks to ensure that HKEX and its regulated affiliates have adequate procedures to comply with their regulatory obligations under legislation and memoranda of understanding with regulators.

The Department provides an assessment of the adequacy of such procedures that is independent of HKEX's business lines and leads or facilitates the self-assessments and on-site reviews performed at the request of HKEX's regulators.

Job Responsibilities :

Reporting to the Senior Vice President of the Compliance and Inspections team, the successful incumbent is expected to :

  • Assist in performing reviews / assessments of the relevant divisions and functional areas; ensuring HKEX's compliance with relevant policies, procedures, rules and regulations;
  • documenting the assessments

  • Assist in the design and preparation of a comprehensive compliance monitoring programme for HKEX, provide advice to divisions and functional areas in rectifying weaknesses or compliance failures
  • Coordinate and prepare divisions and functional areas for regulatory inspections, reviews or international assessments, e.g. IMF, IOSCO etc.
  • Work closely with the SFC and provide support to ensure all regulatory projects and commitments are properly handled
  • Provide compliance advisory services and support to facilitate business projects and initiatives
  • Carry out ad-hoc assignments as required
  • Requirements :

  • University Degree, preferably in Law, Accounting or Finance
  • At least 10 years of proven compliance, audit, enforcement, and / or legal experience in regulatory authority or Government agency, a law firm, and / or a financial institution, of which at least 5 years at management level
  • In-depth knowledge of the local derivatives and / or cash market; experience in commodity / fixed income / currency market an advantage
  • Good working knowledge of local regulatory requirements including the applicable law and rules, and Principles for financial market infrastructures (PFMIs);
  • familiar with Mainland China regulatory requirements an advantage

  • Strong conceptual, interpersonal and presentation skills
  • Able to work independently and attentive to details Strong drafting, research and analytical skills
  • Strong command of written and spoken English and Chinese (Cantonese and Putonghua)
  • Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful. Personal data provided will only be used for the purpose of employment application to HKEX.


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