Associate - Listing (Listing Enforcement) Associate - Listing (Listing Enforcement) …

Hong Kong Exchanges and Clearing Limited
in Hong Kong
Permanent, Full time
Last application, 04 Mar 21
Competitive
Hong Kong Exchanges and Clearing Limited
in Hong Kong
Permanent, Full time
Last application, 04 Mar 21
Competitive
Associate - Listing (Listing Enforcement)
The HKEX's Listing Division conducts the day-to-day administration of the Listing Rules. The Enforcement Department (within the Listing Division) is responsible for investigating and enforcing breaches of the Listing Rules. As an Associate within the Enforcement Department, you will be provided with an interesting mix of investigative case work together with challenging project work. You will need to be a strong communicator with an eye for detail, but also someone who enjoys creating solutions to complex legal (and non-legal) issues. Please see the job description below for further information.
Job Responsibilities:
  • Manage cases (under supervision) in accordance with the enforcement process including investigating and presenting cases at committee meetings and hearings;
  • Draft documents and correspondence including enquiry letters, internal reporting documents, case recommendations and disciplinary reports;
  • Review submissions from third parties and their professional advisers and conduct research (legal and non-legal) with respect to each enforcement case;
  • Assist in delivering a wide range of legal and non-legal projects undertaken by the Department;
  • Provide operational support such as strategic reporting and database management;
  • Provide legal and other professional support in relation to the work of the Listing Division.
Job Requirements:
  • Lawyer with a minimum of 3 years' post qualification experience OR university graduate of another discipline but with at least 3 years' work experience in law, accounting, investigations, enforcement, corporate finance, investment banking or a related field;
  • Strong interpersonal and presentation skills and working knowledge of investigative techniques and procedures;
  • Background in regulatory litigation will be highly regarded;
  • Working knowledge of the Listing Rules and knowledge of the securities industry including securities laws and accounting practices is an advantage;
  • Good command of written and spoken English and Chinese. Proficiency in Putonghua is strongly preferred.
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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