Associate - Listing - Structured Products & Fixed Income (Control/ Compliance/ Risk Management)
Hong Kong Exchanges and Clearing Limited
Hong Kong, Hong Kong

1. Fixed Income :

Job Responsibilities :

  • Assist in processing listing application in relation to debt securities, including review of application documents, listing documents and announcements
  • Support post-listing monitoring of listed debt issuers to ensure compliance with Listing Rules
  • Monitor media reports and review announcements
  • Conduct research of regulatory and market development in overseas jurisdictions
  • Provide operational support such as strategic reporting and database management
  • Provide support for ad-hoc projects as required
  • Requirements :

  • University Degree of any disciplines with at least 3 years working experience in law, accounting, corporate finance, investing banking or a related field
  • Background in debt capital markets will be highly regarded
  • Working knowledge of the Listing Rules and knowledge of the securities industry and its practices including securities laws and accounting practices is an advantage
  • Strong interpersonal and presentation skills
  • Good command of written and spoken English and Chinese. Proficiency in Putonghua is preferred
  • 2. Structured Products

    Job Responsibilities :

  • Assist in the processing of listing applications of structured products and post listing monitoring of performance of structured products issuers
  • Communicate with and review submissions from structured products issuers
  • Perform analytical review of trading data and issuers' performance records and recommend follow up actions
  • Conduct initial assessments of investors' complaints and recommend course of action
  • Monitor development of the structured products industry and identify industry trends and risks for policy formulation
  • Participate in IT projects to support the team's operational enhancement initiatives
  • Job Requirements :

  • University Degree, preferably in Finance, Quantitative Finance, Economics or related disciplines
  • At least 3 years' relevant experience in risk management, compliance or control functions of well-established financial organizations
  • Market knowledge of practices, regulations and operations of the securities market including the structured products industry is a plus
  • Detailed oriented; strong communication skills and critical thinking; solid experience in data analysis
  • Good command of written and spoken English and 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.


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