AVP/Associate - Market Surveillance and Monitoring (Enforcement)
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:Job Duties:Responsibilities
- Support team’s efforts in enforcement of HKEX rules and regulations on Exchange and Clearing Participants through conducting HKEX’s Annual Attestation and Inspection Programme and thematic reviews
- Assist in organizing 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
- Perform UAT testing and contribute to implementation of rule enforcement systems
- Work in collaboration with other team members to develop, maintain and review internal policies and procedures, and explore opportunities 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
- University degree, preferably in Business Administration, Finance, Law or related disciplines
- At least 7 years’ relevant experience of which at least 2 years at a management/supervisory level, preferably in audit, inspection, enforcement, compliance or advisory roles with regulators or in well-established financial institutions
- Good 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
- Candidate with less experience will be considered as Associate.