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.
