Vice President , Fund Platform - Compliance

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:
This is an exciting opportunity to join the Fund Platform team at HKEX's Platform & Market Structure Development Division. The key responsibilities of the successful candidate include the following.

Job Duties:

Job Duties:

Responsibilities:

As the Manager-in-Charge ("MIC") of Compliance and Anti-Money Laundering, design and implement effective compliance and AML framework and policies for our fund platform business.

Identify, assess, monitor, report risks and incidents arising from regulated activities and operations

Review and monitor internal compliance with policies and procedures, and ensure compliance with relevant regulatory obligations. Identify and manage incidents and coordinate the investigation into complaints

Oversee all activities relating to the prevention and detection of money laundering activities or terrorist financing, including the monitoring of client transactions

Provide support to Department Head and the MIC of Overall Management Oversight

Undertake any ad-hoc assignments as required

Requirements:

University degree in Finance, Law or a related field

At least 12 years' of risk management, control & compliance experience in an SFC Type 1 licensed corporation undertaking mutual fund distribution, preferably in MIC roles

A strong team player

Proven ability to multitask and able to adjust effectively to changing priorities

Advanced analytical and research skills with attention to details

Strong communication, presentation and interpersonal skills

Excellent command of written and spoken English and Chinese (Cantonese); proficiency in Putonghua is an advantage

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:
Standard - 40 Hours (Hong Kong SAR)

Scheduled Weekly Hours:
40

Worker Type:
Permanent