Assistant Vice President - Market Surveillance and Monitoring (Rule Enforcement) Assistant Vice President - Market Surveillance and  …

Hong Kong Exchanges and Clearing Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Competitive
Hong Kong Exchanges and Clearing Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Competitive
Assistant Vice President - Market Surveillance and Monitoring (Rule Enforcement)
Job Responsibilities:

  • Responsible for execution of HKEX's Annual Attestation and Inspection Programme, enforcement of HKEX rules and regulations, and regulation of Exchange/Clearing Participants
  • Conduct investigations on breaches of HKEX rules and instigate disciplinary proceedings, including drafting and preparing the relevant documents and reports
  • Lead, manage and participate in rule enforcement projects and other ad hoc assignments
  • Develop, review and revise internal policies and procedures
  • Communicate, interact, organize meetings and training for and with local and overseas regulators, market participants and internal departments

Job Requirements:
  • University degree in Business Administration, Finance, Law or related disciplines
  • Minimum 6-8 years of relevant experience, preferably in equity / equity derivatives compliance roles in well-established financial organizations
  • Working knowledge of SFO, SFC codes and guidelines, as well as HKEX rules and regulations is an advantage
  • Proactive, great attention to details, strong analytical (quantitative and qualitative) and presentation skills
  • Experience in project management in various stages including planning, testing, implementation and monitoring is an advantage
  • Strong command of written and spoken English and Chinese; proficiency in Putonghua is required

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.
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