Assistant Vice President - Listing Enforcement - Listing
Hong Kong Exchanges and Clearing
- Hong Kong
- Permanent
- Full-time
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: The Stock Exchange is the front-line regulator of listed companies in Hong Kong. The Enforcement Department of HKEX’s Listing Division is responsible for investigating possible breaches of the Listing Rules and taking appropriate enforcement action, which includes conducting disciplinary proceedings before the Listing Committee.
By joining the Enforcement Department, you will be provided with an interesting mix of investigative and disciplinary case work, together with challenging project work. You will need to be a strong, balanced and persuasive communicator, with an enquiring mind and an eye for detail. The successful candidate will have the highest integrity, and be motivated by the prospect of unravelling complex issues in the cause of fairness and justice.Job Duties:Responsibilities:Investigate potential misconduct and breaches relating to the Listing RulesConduct disciplinary action, including presentation before the Listing CommitteeAssist the Head of Enforcement in all enforcement matters, including in furthering the objectives of the DepartmentProvide assistance in formulating and implementing disciplinary and enforcement policy and procedures, and participating in other projects undertaken by the DepartmentRequirements:Qualified lawyer with at least 3 years’ professional experience OR university graduate with at least 3 years’ relevant professional experience in law, accounting, investigations, enforcement, corporate finance, investment banking or a related fieldExperience in regulatory litigation or other contentious fields, particularly regarding financial services, will be highly regardedKnowledge of Main Board Listing Rules and GEM Listing Rules is preferred, including underlying principles and published interpretationsKnowledge of investigative techniques and proceduresStrong interpersonal and presentation skillsStrong analytical, writing and advocacy skillsFluency in written and spoken EnglishGood command of written and spoken Chinese (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 SquareShift: Standard - 40 Hours (Hong Kong SAR)Scheduled Weekly Hours: 40Worker Type: Permanent