Vice President - Listing (Listing Compliance)
Listing Compliance is responsible for overseeing compliance, internal control and risk management matters related to the Listing Division. It seeks to design the Division's policies and procedures and conduct necessary approvals to ensure these policies and procedures are appropriate and adequate to comply with obligations under relevant legislation and rules. In addition, it will participate in formulating operating protocols to ensure that policies and procedures are fully understood and effectively implemented. The team also leads and facilitates the self-assessments and on-site reviews performed at the request of HKEX's regulators. Reporting to the Head of Listing Compliance, the successful incumbent is expected to: Job Responsibilities:
- Assist in leading internal control reviews/assessments of the Listing Department's functional areas to ensure effective implementation of relevant policies and procedures;
- Take lead in the documentation of comprehensive compliance programme for the Listing Department and monitor compliance - assist divisions and functional areas to rectify weaknesses or where there are compliance breaches;
- Coordinate and prepare the Listing division for internal and external inspections, reviews or assessments;
- Assist in driving a robust internal control and risk management environment for the Listing Department;
- Provide compliance advice on business matters or projects;
- Provide internal education of key risk topics for the department.
- Bachelor's Degree in Law, Accounting or Finance
- At least 8- 12 years of proven legal and/or compliance / financial crime experience in a regulatory authority or government agency, a law firm, a professional firm and/or a financial institution
- Relevant experience of Capital Markets business processes, Compliance and Risk management. Knowledge of the operations and regulations of the Listing process is preferred
- Good appreciation of process improvement and internal control design and execution.
- Proven resources management and leadership skills
- Excellent conceptual, analytical, interpersonal, communication and presentation skills; a team player
- Good command of written and spoken English and Chinese; proficiency in 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.