Associate - Regulatory Compliance ( Regulatory Policy & Advisory team) ( for a 12 month contract)
The Regulatory Compliance Department seeks to ensure that HKEX and its regulated subsidiaries have adequate policies and procedures to comply with their regulatory obligations under relevant legislation, rules and the memoranda of understanding with Hong Kong regulators. The Department assesses the adequacy of such procedures that is independent of HKEX's business lines. The Department also leads or facilitates the self-assessments and on-site reviews performed at the request of HKEX's regulators. Job Responsibilities:
- Assist in drafting and review of internal compliance policies, procedures and guidelines;
- Assess the internal procedures comply with relevant regulatory obligations and legislation and that HKEX is in compliance with the policies, procedures and relevant laws and regulations;
- Provide assistance on regulatory/compliance advice on projects and business matters including assessment on impact of global regulatory requirements e.g. MiFID II;n Communicate and work closely with internal teams and HKEX's regulators;
- Involved in developing internal training including drafting of training materials and presentation.
- Bachelor's Degree in Law, Accounting or Finance;
- At least 3 years of proven legal, compliance or financial experience in a regulatory authority or Government agency, a law firm, and/or a financial institution;
- Knowledge of Hong Kong regulations of securities, derivatives and commodities market;
- Solid drafting, analytical and research skills;
- Proficient in MS Office applications, e.g. Word, Excel, PowerPoint;
- Strong command of written and spoken English and Chinese (Cantonese and Putonghua).
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