Senior Vice President - Regulatory Compliance - Markets Compliance Advisory Senior Vice President - Regulatory Compliance -  …

Hong Kong Exchanges and Clearing Limited
in Hong Kong
Permanent, Full time
Last application, 18 Jan 22
Competitive
Hong Kong Exchanges and Clearing Limited
in Hong Kong
Permanent, Full time
Last application, 18 Jan 22
Competitive
Senior Vice President - Regulatory Compliance - Markets Compliance Advisory
The Regulatory Compliance seeks to ensure that HKEX Group has adequate procedures and controls to comply with relevant laws rules and regulations across the regulatory landscape. The team manages the second line of defence independent challenge function for regulatory risks by assessing and challenging first line of defence activities and adequacy of procedures and controls.

Job Responsibilities:

Reporting to the Group Chief Compliance Officer, the key responsibilities of the Senior Vice President for Markets Compliance Advisory will include:
  • Work closely with the Sales and Marketing team, pre-trade and post trade to develop and deliver the compliance program to the business
  • Provide regulatory and compliance advice to the business such as business aligned projects and products
  • Be the first point of contact and trusted advisor for all compliance matters for the relevant business partners
  • Work with the business and technology to advise on regulatory implications of business change
  • Work with the business to ensure all regulatory activities and critical business processes are executed to the group standard
  • Develop relationships with appropriate regulatory bodies to effectively communicate regulatory concerns and manage communications around business change as well as any regulatory reviews that may ensue
  • As a key member of the compliance team, help develop and drive the compliance program such that it is fit for purpose for the relevant business and for the organization as a whole

Requirements:
  • An advanced degree or professional qualification in Accounting, Audit, Law or Finance.
  • 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 compliance, inspections and/or policy development gained from working for an investment bank, a financial institution, a regulatory authority, a Government or Government agency or a law firm, 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.

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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