Vice President - Market Surveillance & Monitoring (Enforcement/ Investigation/ Disciplinary)
Hong Kong Exchanges and Clearing Limited
Hong Kong, Hong Kong

The Market Surveillance & Monitoring Department is primarily responsible for maintaining the integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants.

It also cooperates with Hong Kong and Mainland regulators on their investigation of cross-boundary market misconduct under the China Stock Connect markets.

The incumbent will work proactively and collaboratively with other HKEX internal stakeholders to promote effective market regulations for a fair, orderly and reputable market.

Job Responsibilities

Reporting to the Senior Vice President of the Enforcement team, the successful incumbent is expected to :

  • Primarily responsible for conducting investigation and providing full support in the preparation of disciplinary proceedings arising from rule violation
  • Work closely with team lead as well as internal and external stakeholders in reviewing and enhancing disciplinary framework, rules and related procedures
  • Support team's efforts in enforcement of HKEX rules and regulations against Exchange and Clearing Participants through HKEX's Annual Attestation and Inspection Programme and thematic reviews
  • Support market education and communication events, including seminars and roundtables with industry associations, and publication of compliance bulletin
  • Prepare presentation materials and produce data analytics for routine or ad-hoc reporting to management and regulators
  • Contribute to development and implementation of rule enforcement workflow or systems
  • Work in collaboration with other team members to formulate, maintain and review internal policies and procedures
  • Provide support to team lead in communication and liaison with local and overseas regulators, market participants and relevant internal stakeholders
  • Undertake any ad-hoc assignments as required
  • Job Requirements

  • University degree, preferably in Law, Business Administration, Finance or related disciplines
  • At least 10 years of proven relevant experience of which at least 5 years at a management / supervisory level, preferably in enforcement, audit, compliance and / or legal experience in regulatory authority, a law firm and / or well-established financial institutions
  • Strong knowledge of HKEX rules and regulations as well as SFO, SFC codes and guidelines. Experience in enforcement and / or handling litigation is an advantage
  • Good knowledge of the securities and derivatives markets. Exposure to the China Stock Connect markets is an advantage
  • Proven ability to multi task and able to adjust effectively to changing priorities
  • Self-starter, able to work independently, highly motivated with a strong delivery focus
  • Meticulous attention to details, strong analytical and problem solving skills
  • Strong interpersonal and presentation skills (verbal and written)
  • Project management experience (planning / testing / implementation) is an advantage
  • Strong command of written and spoken English and Chinese (Cantonese). Proficiency in Putonghua is preferred
  • Candidate with less experience will be considered as Assistant Vice President.
  • 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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