The Regulatory Compliance Department seeks to ensure that HKEX and its regulated affiliates have adequate procedures to comply with their regulatory obligations under legislation and memoranda of understanding with regulators.
The Department provides an assessment of the adequacy of such procedures that is independent of HKEX’s business lines and leads or facilitates the self-assessments and on-site reviews performed at the request of HKEX's regulators.
Job Responsibilities :
Reporting to the Group Chief Compliance Officer, the key responsibilities of the Senior Vice President include :
Lead a compliance monitoring programme for HKEX perform reviews / assessments of the divisions, functional areas, and ensure they are complying with regulatory obligations and relevant rules and regulations.
Provide assistance to divisions and functional areas to rectify weaknesses or where there are compliance breaches.
Manage the SFC on-site inspection process provide assistance to relevant HKEX divisions / functional areas and ensure comments / issues arising are properly dealt with, including follow-up work on remedial findings after the on-site inspection.
Prepare divisions, functional areas for inspections, reviews or international assessments e.g. FATF, IMF, IOSCO, FSAP and ensure HKEX is in compliance with what it has agreed to do.
Provide compliance training to the divisions and functional areas.
Work with the Group Chief Compliance Officer to compile the yearly assessment report of the state of compliance to the relevant committee designated by the HKEX Board.
Monitor HKEX’s regulatory commitments to its regulators.
Manage a team of compliance professional and assist in the operation of the Regulatory Compliance Department.
An advanced degree or professional qualification in Accounting, Audit, Law or Finance. Audit / Inspections experience preferred.
In-depth 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 15 years of proven experience in regulatory, inspections and / or policy development gained from working for a regulatory authority, a Government or Government agency, a law firm, and / or a financial institution, of which at least 10 years at a management level.
Ability to work with regulators as they exercise their regulatory powers over the exchange onsite inspections, desk reviews, etc.
Ability to articulate and promote regulations and rules in a multi-stakeholder environment. Proven resources management and leadership skills.
Excellent conceptual, analytical, interpersonal, communication and presentation skills. Team player and effective manager.
Strong command of written and spoken English and Chinese. Proficiency in Putonghua an advantage.