Assistant Vice President/ Associate - Listing Enforcement - Listing
Hong Kong Exchanges and Clearing Limited
Hong Kong, Hong Kong

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.

By joining the Enforcement Department, you will be provided with an interesting mix of investigative and disciplinary case work, together with challenging project work.

You will need to be a strong, balanced and persuasive communicator, with an enquiring mind and an eye fordetail. The successful candidate will have the highest integrity, and be motivated by the prospect of unravelling complex issues in the cause of fairness and justice.

Job Responsibilities :

  • Investigate potential misconduct and breaches relating to the Listing Rules
  • Conduct disciplinary action, including presentation before the Listing Committee
  • Assist the Head of Enforcement in all enforcement matters, including in furthering the objectives of the Department
  • Provide assistance in formulating and implementing disciplinary and enforcement policy and procedures, and participating in other projects undertaken by the Department
  • Job Requirements :

  • Qualified lawyer with at least 3 years' professional experience OR university graduate with at least 3 years' relevant professional experience in law, accounting, investigations, enforcement, corporate finance, investment banking or a related field
  • Experience in regulatory litigation or other contentious fields, particularly regarding financial services, will be highly regarded
  • Knowledge of Main Board Listing Rules and GEM Listing Rules is preferred, including underlying principles and published interpretations
  • Knowledge of investigative techniques and procedures
  • Strong interpersonal and presentation skills
  • Strong analytical, writing and advocacy skills
  • Fluency in written and spoken English
  • Good command of written and spoken Chinese (proficiency in Putonghua is preferred)
  • 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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