Assistant Vice President/Associate – Regulatory Compliance
Hong Kong Exchanges and Clearing Limited
Hong Kong, Asia Pacific

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

Job Responsibilities :

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

  • Support team’s effort to ensure all regulatory projects and commitments to the SFC are properly handled
  • Provide full support throughout the development, implementation and end-user adoption of an impending compliance solution, including contribution to the design and coordination of user acceptance testing, and the preparation of user manual
  • Fulfill any ad-hoc assignments as required
  • Job Requirements :

  • University Degree in Law, Accounting, Finance or related disciplines
  • At least 7 years of proven compliance, audit and / or enforcement experience in regulatory authority or Government agency and / or a well-known financial institution, of which at least 3 years at management level
  • Good knowledge of the local cash and / or derivatives market; experience and working knowledge of local regulatory requirements including the applicable law and rules an advantage
  • Reliable, with a strong sense of responsibility and impeccable integrity
  • Strong communication, interpersonal and presentation skills, and attentive to details
  • Good drafting, research and analytical skills
  • Strong command of written and spoken English and Chinese (Cantonese and Putonghua)
  • Candidate with less experience will be considered as Associate
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