Assistant Vice President - Markets (Market Surveillance & Monitoring - Rule Enforcement)
Hong Kong Exchanges and Clearing Limited
Hong Kong

Job Responsibilities :

  • Responsible for execution of HKEX’s Annual Attestation andInspection Programme, enforcement of HKEX rules and regulations, and regulation of Exchange / Clearing Participants
  • Investigate breaches of HKEX rules, instigate disciplinary proceedings, including drafting and preparing the relevant documents and reports
  • Provide guidance on interpretation and compliance with HKEX rules and regulations to the market through market outreach, compliance roundtable, seminars and written guidance
  • Communicate and interact with local and overseas regulators, market participants and internal departments
  • Develop, review and revise HKEX rules and regulations, to stay in line with international market practices and development
  • Lead, manage and participate in ad hoc projects as required
  • Job Requirements :

  • University degree in Business Administration, Finance, Law or related disciplines
  • At least 6 years of solid experience in enforcement, compliance or advisory role with regulators or in well-established financial organizations, including at least 2 years at management or supervisory capacity
  • Advanced knowledge of SFO, SFC codes and guidelines, as well as HKEX rules and regulations is an advantage
  • Working knowledge of investigative techniques and procedures
  • Proactive, great attention to details, strong analytical (quantitative and qualitative) and presentation skills
  • Experience in project management in various stages including planning, testing, implementation and monitoring is an advantage
  • Excellent command of written and spoken English and 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. #LI-CS1

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