Assistant Vice President - Regulatory Compliance - Employee Compliance Assistant Vice President - Regulatory Compliance -  …

Hong Kong Exchanges and Clearing Limited
in Hong Kong
Permanent, Full time
Last application, 22 Jan 22
Competitive
Hong Kong Exchanges and Clearing Limited
in Hong Kong
Permanent, Full time
Last application, 22 Jan 22
Competitive
Assistant Vice President - Regulatory Compliance - Employee Compliance
The Regulatory Compliance seeks to ensure that HKEX Group has adequate procedures and controls to comply with their obligations under legislation and memoranda of understanding with relevant regulators. The team manages the second line of defence independent challenge function for regulatory risks as they relate to employee compliance obligations including personal account dealing, anti-bribery and corruption, and whistle-blowing.

Job Responsibilities:

Reporting to the Senior Vice President of the Employee Compliance team, the key responsibilities of the successful candidate will include:
  • Assist in performing monitoring work in HKEX staff compliance matters, including those relating to personal account dealings and anti-bribery and corruption matters; ensuring staff compliance with relevant policies, procedures, rules and regulations and that monitoring work is properly handled
  • Assist in drafting and reviewing internal compliance procedures and guidelines
  • Assist in the preparation and submission of briefings/reports to HKEX management bodies
  • Provide advice on staff compliance matters including applicable policy requirements

Requirements:
  • University degree in Law, Accounting, Audit, Finance or related disciplines.
  • Knowledge of the operations and regulation of the local securities, futures and commodities market.
  • At minimum of 7 years of proven experience in regulatory, compliance, audit and/or enforcement experience gained from working for an investment bank, a financial institution, a regulatory authority, a Government agency or a law firm.
  • Strong conceptual, analytical, interpersonal, communication and presentation skills and attentive to details. Strong team player.
  • Strong command of written and spoken English and Chinese. Proficiency in Putonghua an advantage.

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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