Assistant Vice President – Legal & Regulatory Compliance (Compliance and Inspections)
The Regulatory Compliance Department seeks to ensure that HKEX and its regulated affiliates have adequate procedures to comply with their regulatory obligations under legislation and memoranda of understanding with regulators. The Department provides an assessment of the adequacy of such procedures that is independent of HKEX's business lines and leads or facilitates the self-assessments and on-site reviews performed at the request of HKEX's regulators . Job Responsibilities:
Reporting to the Senior Vice President of the Compliance and Inspections team, the successful incumbent is expected to:
- Assist in performing reviews/assessments of the divisions and functional areas; ensuring HKEX is complying with the policies, procedures, relevant rules and regulations; documenting the assessments and assisting management to ensure compliance
- Assist in the preparation of a comprehensive compliance monitoring programme for HKEX, assist divisions and functional areas to rectify weaknesses or where there are compliance failures
- Coordinate and prepare divisions and functional areas for inspections, reviews or international assessments, e.g. IMF, IOSCO etc.
- Work closely with the SFC and provide support to ensure all regulatory projects are properly handled
- Provide compliance advisory services and support tofacilitate business projects and initiatives
- University Degree, preferably in Law, Accounting or Finance
- At least 6 years of proven compliance, audit, enforcement, and/or legal experience in regulatory authority or Government agency, a law firm, and/or a financial institution, of which at least 2 years at management level
- In-depth knowledge of the local derivatives and/or cash market; experience in commodity/ fixed income / currency market an advantage
- Good working knowledge of local regulatory requirements including the applicable law and rules, and Principles for financial market infrastructures (PFMIs);familiar with Mainland China regulatory requirements an advantage
- Strong conceptual, interpersonal and presentation skills
- Very good drafting, research and analytical skills
- Strong command of written and spoken English and Chinese (Cantonese and Putonghua)
Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful. Personal data provided will only be used for the purpose of employment application to HKEX.