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Hong Kong Exchanges and Clearing Limited

AVP/Associate - Listing Operational Risk and Control, Listing

Hong Kong Exchanges and Clearing Limited Hong Kong
Posted 5 days ago Permanent Competitive
Company Introduction:

We're home to Asia's most dynamic and vibrant capital markets.
Connecting capital, ideas, inspiration and innovation for deeper, more diverse and liquid global capital markets; providing greater choice and opportunity for our customers, each and every day.

HKEX is a purpose-driven company. Our commitment to the long-term development of our business and our markets is articulated in our purpose: "To Connect, Promote and Progress our Markets and the Communities they support for the prosperity of all."

Job Summary:
Listing Operational Risk and Control is responsible for overseeing compliance, internal control, business and risk management matters related to the Listing Division. It seeks to design the Division's policies and procedures and conduct necessary approvals to ensure these policies and procedures are appropriate and adequate to comply with obligations under relevant legislation and rules. In addition, it will participate in formulating operating protocols to ensure that policies and procedures are fully understood and effectively implemented. The team also leads and facilitates the self-assessments and on-site reviews performed at the request of HKEX's regulators.

Job Duties:

Responsibilities:
  • Assist in internal control reviews/assessments of the Listing Division's functional areas to ensure effective implementation of relevant policies and procedures;
  • Assist the Division to streamline processes and controls and drive a robust internal control and risk management environment;
  • Coordinate and prepare the Division for internal and external inspections, reviews or assessments;
  • Take lead in divisional projects;
  • Provide internal education of key risk topics for the department.
Requirements:
  • Bachelor's Degree; specialty in Law, Accounting, Finance, Risk Management and Management Information systems will be an advantage
  • At least 5 years of legal and/or compliance / business and project management experience in a regulatory authority or government agency, a law firm, a professional firm and/or a financial institution;
  • Good appreciation of process improvement and internal control design and execution;
  • Excellent conceptual, analytical, interpersonal, communication and presentation skills; a team player
  • Relevant experience of Capital Markets business processes, Compliance and Risk management is preferred;
  • Good command of written and spoken English and Chinese; proficiency in Putonghua
  • Candidate with less experience will be considered as Associate
HKEX is committed as an Equal Opportunity Employer. Diversity is one of our core values and we look to support, respect diverse perspectives, abilities, culture and experiences within our workplace.

Location:
HKEX - Exchange Square

Shift:
Standard - 40 Hours (Hong Kong SAR)

Scheduled Weekly Hours:
40

Worker Type:
Permanent
Job ID  R001863
ABOUT COMPANY
Hong Kong
Capital Markets
Hong Kong Exchanges and Clearing Limited (HKEX) is a publicly-traded company (HKEX Stock Code: 388) and one of the world’s leading global exchange gro...
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