Assistant Vice President - Group Compliance - Inspections and Projects (12 months contract)
The Group Complianceseeks to ensure that HKEX Group has adequate procedures and controls to complywith relevant laws rules and regulations across the regulatory landscape. Theteam manages the Second Line of Defence independent challenge function forregulatory risks by assessing and challenging First Line of Defence activitiesand adequacy of procedures and controls. Job Responsibilities:
Reporting to theSenior Vice President of the Monitoring and Testing Team, the keyresponsibilities of the successful candidate will include:
- Assist Group Compliance to coordinate and facilitate the regulatory inspections on HKEX;
- Work collaboratively with the First Line of Defence to prepare and submit deliverables to regulators during inspections;
- Work with Enterprise Risk Management (ERM) on projects and/or initiatives relating to Risk and Control Self-Assessment (RCSA), issue management, incident management, management reporting etc.
- Provide support to Monitoring and Testing Plan execution as required;
- Carry out ad-hoc assignments as required.
- A minimum of 7 years of proven 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.
- University degree or professional qualification in Accounting, Audit, Law, Finance or related disciplines. Audit/Inspections experience preferred.
- Knowledge of the operations and regulation of the local securities, futures and commodities markets, experience in the Mainland China securities and derivatives markets and knowledge in the Mainland China regulatory requirements an advantage.
- Strong conceptual, analytical, interpersonal, communication and presentation skills and attentive to details. Strong team player.
- Strong command of written and spoken English and Chinese. Proficiency in Putonghua an advantage.
Applicants who do not hear from us within6 weeks may consider their applications unsuccessful. Personal data providedwill only be used for the purpose of employment application to HKEX.