Assistant Vice President - Group Compliance - Monitoring & Testing
Hong Kong Exchanges and Clearing Limited
Hong Kong, Asia Pacific

The Group Compliance Monitoring and Testing Team seeks to ensure that HKEX Group hasadequate procedures and controls to comply with their obligations underlegislation and memoranda of understanding with relevant regulators.

The teammanages the second line of defence independent challenge function forregulatory risks by assessing and challenging first line of defence activitiesand adequacy of procedures and controls.

Job Responsibilities :

Reporting to theSenior Vice President of the Monitoring and Testing Team, the keyresponsibilities of the successful candidate will include :

  • Assist in the design and development of the compliance second line of defence monitoring and testing program for the HKEX Group
  • Plan and execute reviews of the organization’s divisions to ensure compliance with regulatory obligations, relevant rules and expectations
  • Ensure that the Monitoring and Testing program is executed consistently across the HKEX Group’s second line of defence functions
  • Work collaboratively with the HKEX Group’s compliance teams to execute deliverables successfully
  • Requirements :

  • University degree or professional qualification in Accounting, Audit, Law, Finance or related disciplines. Audit / Inspections experience preferred.
  • Knowledge of the operations and regulation of the local securities, futures and commodities markets, experience in the Mainland China securities and derivatives markets and knowledge in the Mainland China regulatory requirements an advantage.
  • A minimum of 7 years of proven experience in regulatory, inspections and / or policy development gained from working for an investment bank, a financial institution, a regulatory authority, a Government or Government agency or a law firm.
  • Strong conceptual, analytical, interpersonal, communication and presentation skills and attentive to details. Strong team player.
  • Strong command of written and spoken English and Chinese. Proficiency in Putonghua an advantage.
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