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Assistant Vice President - Listing - Listing Rules Compliance (Control/ Compliance/ Risk Management)

Hong Kong Exchanges and Clearing Limited
Hong Kong
Posted about 1 month ago Permanent Competitive
Assistant Vice President - Listing - Listing Rules Compliance (Control/ Compliance/ Risk Management)
Job Responsibilities:
  • To lead and manage a team in processing listing applications of structured products and regulating Listing Rules compliance, including reviewing listing documents, carrying out pro-active monitoring of issuers' compliance with rules and guidelines
  • To conduct research of regulatory and market development in overseas jurisdictions
  • To assist in policy and product development and ad hoc projects such as market consultation and system enhancement
  • To provide legal and other professional support to the work of the Listing Division


Job Requirements:
  • University Degree, preferably in Financial Engineering, Economics, Business or Law.
  • At least 8 years' relevant experience of which at least 2 years at a management/supervisory level in risk management, compliance or control functions in investment banks
  • Good market knowledge in practices, regulations and operation of the structured products markets in Hong Kong or overseas
  • Self-motivated, detail oriented and possess good project management, data analysis and communication skills
  • Good command of written and spoken English and Chinese.

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.
Job ID  IRC20859
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