Hong Kong Exchanges and Clearing Limited (HKEX) is a leading global operator of exchanges and clearing houses based in Hong Kong, Asia’s premier international financial centre, and one of the world’s largest exchange groups by market capitalisation. HKEX operates the securities and derivatives...

Hong Kong Exchanges and Clearing Limited (HKEX) is a leading global operator of exchanges and clearing houses based in Hong Kong, Asia’s premier international financial centre, and one of the world’s largest exchange groups by market capitalisation. HKEX operates the securities and derivatives markets and their related clearing houses and is the frontline regulator of listed companies in Hong Kong. It also owns the London Metal Exchange (LME) in the UK, the world's premier base metals market.

Vice President - Regulatory Compliance (Compliance and Inspections)

Job level Middle
Work exp Minimum 10 Years
Education Master Degree
Location Hong Kong
Employment type Full Time
Industry Financial Services
Job function Accounting > Compliance
Banking / Finance > Legal / Compliance
Legal / Professional Services > Legal & Compliance
Published On 19/01/2017
ref. IRC1042

Regulatory Compliance Department seeks to ensure that HKEX and its regulated affiliates have adequate procedures to comply with their regulatory obligations under legislation and memoranda of understanding with regulators. It provides an assessment of the adequacy of such procedures that is independent of HKEX business lines and leads or facilitates the self-assessments and on-site reviews performed at the request of HKEX's regulators.  Reporting to the Senior Vice President of the Compliance and Inspections team, the successful incumbent is expected to:


Job Responsibilities:

• Assist in performing reviews/assessments of the divisions and functional areas; ensuring HKEX is complying with the policies, procedures, relevant rules and regulations; documenting the assessments and assisting management to ensure compliance; drafting the relevant self-assessment reports or associated papers to document the findings or reporting to the Board/Committees
• Provide compliance advice and support to facilitate business projects and initiatives
• Provide compliance training to the divisions and functional areas
• Assist in the documentation of a comprehensive compliance programme for HKEX
• Prepare divisions and functional areas for inspections, reviews or international assessments, e.g. FATF, IMF, IOSCO, FSAP
• Work with the SFC and provide assistance to ensure all on-site inspections are properly handled and any comments /issues arising are dealt with the divisions and functional areas


Requirements:

• Postgraduate degree or professional qualification in Law or Finance/Audit
• In-depth knowledge of the operations and regulations of the securities, futures and commodities markets
• At least 10 years of work experience, of which 5-7 years of proven experience in regulatory inspections, audit or enforcement work gained from working for a regulatory authority, a Government or Government agency, a law firm, and/or a financial institution
• Ability to work with regulators e.g. the inspections and on-site inspections, etc.
• Ability to articulate, promote and implement regulations and rules in a multi-stakeholder environment
• 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.

 

 

 

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