The Stock Exchange is the front-line regulator of listed companies in Hong Kong. The Enforcement Department of HKEX's Listing Division is responsible for investigating possible breaches of the Listing Rules and taking appropriate enforcement action, which includes conducting disciplinary proceedings before the Listing Committee.
As a senior member of the Enforcement Department, you will be responsible for designing and implementing strategies to further the objectives of the Department, through a combination of investigative / disciplinary case work, and initiatives to educate the market, influence compliance culture, and enhance corporate governance.
You will need to be a strong and persuasive communicator, with an enquiring mind and an eye for detail. The successful candidate will have the highest integrity, and be motivated by the prospect of unravelling complex issues in important regulatory matters, and the opportunity to ensure fairness in, and enhance the quality of, the capital market.
Job Responsibilities :
The successful candidate is expected to :
Understand the Enforcement Department's role and vision, and play a lead advocacy role in promoting the Exchange's enforcement messages
Lead and develop a team of experienced professionals
Oversee investigations and disciplinary action relating to breaches of the Exchange Listing Rules
Present disciplinary cases before the Listing Committee
Proactively seek out optimal approaches and solutions
Assist the Head of Enforcement in all enforcement matters, including the formulation of disciplinary policy and procedures
Job Requirements :
Qualified lawyer or accountant, with at least 12 years' relevant working experience in regulatory or financial investigations, litigation / disputes, or regulatory / law enforcement (experience in financial markets an advantage)
Broad and deep knowledge of investigative techniques and procedures
Knowledge of the Securities and Futures Ordinance and Listing Rules (Main Board and GEM) is preferred, together with an understanding of the capital markets
Knowledge of administrative law issues is preferred
An experienced leader capable of motivating, mentoring and developing legal / professional staff (including experienced and senior lawyers)
A strategic, creative and lateral thinker with excellent analytical and problem-solving skills, and ambition to improve through adaption and innovation
Strong interpersonal, relationship management, and presentation skills
The highest standards of integrity and professional ethics
Strong writing skills, with a focus on analysis and advocacy
Fluency in written and spoken English
Good command of written and spoken Chinese
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.