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Hong Kong Exchanges and Clearing Limited

VP - Market Surveillance & Monitoring (Enforcement)

Hong Kong Exchanges and Clearing Limited Hong Kong
Posted 2 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:

Job Duties:

Responsibilities:

Reporting to the Senior Vice President of the Enforcement team, the successful incumbent is expected to:
  • Primarily responsible for enforcement of HKEX rules and regulations against Exchange and Clearing Participants through HKEX's Annual Attestation and Inspection Programme and thematic reviews
  • Conduct investigation and provide support in the preparation of disciplinary proceedings arising from rule violation
  • Work closely with team lead on the review and enhancement of internal policies and procedures for the effective functioning of the team
  • Support market education and communication events, including seminars and roundtables with industry associations, and publication of compliance bulletin
  • Prepare presentation materials and produce data analytics for routine or ad-hoc reporting to management and regulators
  • Contribute to development and implementation of initiatives to automate daily workflows or system enhancements
  • Provide full support to team lead in communication and liaison with local and overseas regulators, market participants and relevant internal stakeholders
  • Undertake any ad-hoc assignments as required
Requirements:
  • University degree, preferably in Business Administration, Finance, Law or related disciplines
  • Good knowledge of the securities and derivatives markets. Exposure to the China Stock Connect markets is an advantage
  • At least 10 years of proven relevant experience of which at least 5 years at a management/supervisory level, preferably in audit, inspection, enforcement, compliance or advisory roles with regulators or well-established financial institutions
  • Strong knowledge of HKEX rules and regulations as well as SFO, SFC codes and guidelines. Enforcement experience is an advantage
  • Proven ability to multi task and able to adjust effectively to changing priorities
  • Self-starter, able to work independently, highly motivated with a strong delivery focus
  • Meticulous attention to details, strong analytical and problem solving skills
  • Strong interpersonal and presentation skills (verbal and written)
  • Project management experience (planning/testing/implementation) is an advantage
  • Strong command of written and spoken English and Chinese (Cantonese). Proficiency in Putonghua is preferred
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:
N/A

Scheduled Weekly Hours:
40

Worker Type:
Permanent
Job ID  R001397
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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