Assistant Vice President/Associate - Market Surveillance & Monitoring (Enforcement)
The Market Surveillance & Monitoring Department is primarily responsible for maintaining the integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants. It also cooperates with Hong Kong and Mainland regulators on their investigation of cross-boundary market misconduct under the China Stock Connect markets.
The incumbent will work proactively and collaboratively with other HKEX internal stakeholders to promote effective market regulations for a fair, orderly and reputable market.
- 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 reviewing and making recommendation to disciplinary framework, rules and related procedures
- Conduct investigation and support disciplinary proceedings arising from rule breach
- 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
- 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
- Good knowledge of the securities and derivatives markets. Exposure to the China Stock Connect markets is an advantage
- 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.
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