VP, Regulatory Compliance, Markets & Operations

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:
The Regulatory Compliance, Markets & Operations team under Group Compliance manages an internal end-to-end service to HKEX and its subsidiaries to facilitate business and market initiatives, and interactions with regulators and Government agencies. It advises HKEX on compliance with relevant laws, rules and regulations across the regulatory landscape including HKEX's overseas representative offices on regulatory matters.

Job Duties:

Job Responsibilities

• Provide compliance and regulatory advice and support to facilitate business matters, products, projects and initiatives with coverage for Markets and Operations divisions.
• Develop and deliver the compliance program to the business, including ongoing reviews to assess HKEX's compliance with relevant laws and regulations, as well as internal policies and procedures to ensure compliance with relevant regulatory obligations and legislation including capturing and assessing regulatory change and impact of global regulatory requirements.
• Assist in drafting, reviewing, and maintaining internal compliance policies, procedures and guidelines to ensure alignment with regulatory requirements and best practices.
• Coordinate and prepare divisions and functional areas for reviews or international assessments e.g. FATF, IMF, FSAP, etc.
• Communicate and work closely with internal teams and HKEX's regulators across jurisdictions.
• Contribute to the development of internal training programs, including the creation of training materials and presentations to support staff awareness and understanding of compliance obligations.
• Support ad-hoc projects including those related to regulatory technology, with a focus on integrating and embedding digital solutions into Group Compliance processes to enhance compliance workflow efficiency and oversight.
• Provide coaching and mentoring to junior members of the team.

Job Requirements

• Bachelor degree or equivalent in Law, Accounting, Finance or related discipline.
• At least 15 years of proven legal, compliance or financial experience in a regulatory authority or Government agency, a law firm, and/or a financial institution.
• Knowledge of Hong Kong and international regulations of securities, derivatives and commodities market; regulatory technology to assist in regulatory compliance and solutions.
• Experience in regulatory, 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
• Excellent analytical, drafting, research, communication, and presentation skills, with keen attention to detail.
• A collaborative team player with the ability to work independently and embrace new challenges.
• Demonstrates flexibility and a growth mindset, with a commitment to continuous learning and development.
• Strong command of written and spoken English and Chinese; 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