Company Introduction:

We’re home to Asia's most dynamic and vibrant capital markets.

Connecting capital, ideas, inspiration and innovation for deeper, more diverse and liquid global capital markets; providing greater choice and opportunity for our customers, each and every day.

HKEX is a purpose-driven company. Our commitment to the long-term development of our business and our markets is articulated in our purpose: "To Connect, Promote and Progress our Markets and the Communities they support for the prosperity of all."

Job Summary:

Reporting to the Head of Employee & Financial Crime Compliance & Listing, the key responsibilities of the successful candidate include:

Job Duties:

Responsibilities:

Reporting to the Head of Employee & Financial Crime Compliance & Listing, the key responsibilities of the successful candidate include:

• Assist to act as second line of defence for Lising Division and provide advice on controls that it is fit for purpose for the relevant business and for the organization as a whole.
• Assess HKEX’s compliance with relevant laws and regulations, as well as internal policies and procedures to ensure compliance with relevant regulatory obligations and legislation including capturing and assessing regulatory change from Chinese Wall/information barrier perspective.
• Provide advice and assistance to divisions and functional areas, including Listing to design key controls and rectify weaknesses.
• Assist in drafting and review of internal compliance policies, procedures and guidelines.
• Coordinate across divisions and functional areas for controls reviews or international benchmarking.
• Communicate and work closely with internal teams and HKEX’s regulators across jurisdictions.
• Involved in developing internal training including drafting of training materials and presentations.
• Assist in the preparation and submission of briefings/reports to HKEX management bodies where necessary.
• Provide advice on staff compliance matters including applicable policy requirements.
• Support ad-hoc projects including those related to regulatory technology, to apply and embed in Group Compliance processes to manage compliance workflows.
  
  

Requirements:

• Bachelor degree or equivalent in Law, Accounting, Finance or related discipline
• Professional AML certification an advantage e.g. ACAMS
• At least 3-4 years of proven IBD/Research compliance or Control Room experience in a financial institution
• Knowledge of the operations and regulation of the local securities, derivatives and commodities markets.
• Strong analytical, drafting, research, communication and presentation skills with attention to detail
• A strong team player, but also able to work independently and take on new challenges
• Flexibility and openness to continue learning, evolving and growing
• Strong command of written and spoken English and Chinese. Proficiency in Putonghua is an advantage
  
  

HKEX is committed as an Equal Opportunity Employer. Diversity is one of our core values and we look to support, respect diverse perspectives, abilities, culture and experiences within our workplace.

Location:

HKEX - Exchange Square

Shift:

Standard - 40 Hours (Hong Kong SAR)

Scheduled Weekly Hours:

40

Worker Type:

Permanent