Assistant VP

3 days ago

Hong Kong, Central and Western District, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited Full time

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:
The Employee & Financial Crime Compliance & Listing under Group Compliance manages and owns Compliance policies, including review policies, conduct training, implement controls and procedures, to ensure the business complies with the spirit of relevant rules and regulations. It also partners with Listing to provide advice on divisional specific controls, and interactions with regulators and Government agencies. Through the implementation of Compliance policies, it helps HKEX employees to uphold the HKEX Values (Integrity, Diversity, Excellence, Collaboration and Engagement) and public interest obligation.

Job Duties:

Responsibilities:

  • 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 Financial Crime perspective.
  • Provide compliance support on HKEX's financial crime framework including conducting due diligence, screening using electronic databases, research and preparing reports and documentation for review
  • 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
  • Provide compliance and regulatory support to facilitate business matters, products, projects and initiatives
  • 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 legal, compliance or financial experience in a regulatory authority or Government agency, a law firm, and/or a financial institution
  • Knowledge of Hong Kong and international regulations of securities, derivatives and commodities market; regulatory technology to assist in regulatory compliance and solutions
  • Experience in regulatory, inspections and/or policy development gained from working for an investment bank, a financial institution, a regulatory authority, a Government or Government agency or a law firm
  • 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

  • Assistant VP

    6 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited Full time

    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...

  • Assistant VP

    23 hours ago

    Hong Kong, Central and Western District, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited Full time

    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...

  • VP/Executive Director

    2 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China PERSOLKELLY Full time

    VP/Executive Director (Japan Equity Sales) 2 days ago Be among the first 25 applicants Direct message the job poster from PERSOLKELLY PERSOLKELLY's snapshot Urgently looking for a solid Sales of Japan Equity Specialist You are expected to demonstrate good business practice and conduct as a role model Company Profile Our client is a top-tier Global Capital...

  • Assistant VP

    5 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China ConnectedGroup Limited Full time

    Job Duties & Responsibilities: Support to lead and manage the Customer Support team proactively. Support to expand transaction business in HKG in various measurements and contribute to the Bank by co-working with colleagues in Singapore and Japan regional team. Support the head of CS to plan and manage the team to achieve Global Transaction Banking business...

  • Assistant VP

    2 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Value Partners Limited Full time

    Job Descriptions:Responsible for investment compliance of public and private funds, primary responsibilities may include:Perform daily pre-trade and post-trade monitoring Code compliance rules in IMS and perform periodic review Design and conduct regular compliance monitoring & surveillance procedures and checking Undertake counterparties due diligence ...

  • Assistant VP

    3 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China DBS Bank (Hong Kong) Limited Full time

    Business Function Technology and Operations (T&O) enables and empowers the bank with an efficient, nimble and resilient infrastructure through a strategic focus on productivity, quality & control, technology, people capability and innovation. In T&O, we manage the majority of the Bank's operational processes and inspire to delight our business partners...

  • Assistant VP

    18 hours ago

    Hong Kong, Central and Western District, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited Full time

    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...

  • VP/AVP, Business Audit – Legal, Compliance

    1 day ago

    Hong Kong, Central and Western District, Hong Kong SAR China DBS Bank Full time

    Job Description - VP/AVP, Business Audit – Legal, Compliance & Secretariat (240000HH) Business Function Group Audit helps the Board and Executive Management meet the strategic and operational objectives of the DBS Group. We conduct independent checks to ensure that the Group's risk and control processes are adequate and effective. All our team members are...

  • Health Care Research Specialist

    2 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Talent Axis Management Consulting Group Ltd Full time

    Health Care Research Analyst - VP to Expand Research TeamTalent Axis Management Consulting Group Ltd is a leading provider of management consulting services, focusing on the healthcare sector. We are seeking a highly skilled Health Care Research Analyst - VP to join our team and expand our research capabilities.The ideal candidate will have expertise in...

  • Strategic AML Compliance Expert

    3 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China China Everbright Bank Hong Kong Branch Full time

    Company OverviewChina Everbright Bank Hong Kong Branch is a leading financial institution in the Asia-Pacific region, committed to providing innovative banking solutions to our customers.Job DescriptionVP of AdvisoryWe are seeking an experienced VP of Advisory to join our team. As a key member of our compliance department, you will be responsible for...

  • VP/ AVP, Treasures Investment Counsellor

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China DBS Bank Full time

    Job Description - VP/ AVP, Treasures Investment Counsellor (Licensed (2500003B) Business Function As the leading bank in Asia, DBS Consumer Banking Group is in a unique position to help our customers realise their dreams and ambitions. As a market leader in the consumer banking business, DBS has a full spectrum of products and services, including deposits,...

  • Health Care Research Analyst

    23 hours ago

    Hong Kong, Central and Western District, Hong Kong SAR China Talent Axis Management Consulting Group Ltd Full time

    Health Care Research Analyst - VP to Expand Research TeamHong Kong SARTalent Axis Management Consulting Group Ltd is seeking a Health Care Research Analyst - VP to expand their Research Team.Our client is a renowned Chinese Investment Bank focusing on the healthcare sector, which includes biotech, Medtech, medical services, etc.Their budget for this position...

  • VP of Advisory

    3 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China China Everbright Bank Hong Kong Branch Full time

    Job Responsibilities:Provide advisory support to stakeholders, review and advise on CDD profiles with increased financial crime risks Perform quality assurance and/or compliance testing on AML/CFT functions, and communicate the result to relevant stakeholders for improvement Conduct review on watchlist screening alerts Assist in the review and maintenance of...

  • Associate VP

    3 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China ALL-STAR AGENCY Full time

    Overview A high-growth corporate bank with continual investment in growth in the region is seeking to hire an Assistant Vice President - Syndications in the syndicated loans department to handle full spectrum of activities for securing the transactions including sales, credit analysis, due diligence in execution to maintain their edge in the syndicated...

  • VP, Specialist, Digital Service Delivery, Consumer Banking

    11 hours ago

    Hong Kong, Central and Western District, Hong Kong SAR China DBS Bank Full time

    Job Description - VP, Specialist, Digital Service Delivery, Consumer Banking (WD72843)Business FunctionAs the leading bank in Asia, DBS Consumer Banking Group is in a unique position to help our customers realise their dreams and ambitions. As a market leader in the consumer banking business, DBS has a full spectrum of products and services, including...

  • VP of Business Compliance

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China DBS Bank (Hong Kong) Limited Full time

    Business Function Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust...

  • VP (Team Head), Anti-Scam, Legal, Compliance & Secretariat

    31 minutes ago

    Hong Kong, Central and Western District, Hong Kong SAR China DBS Bank Full time

    Job Title: VP (Team Head), Anti-Scam, Legal, Compliance & Secretariat (2500002E) Job Description: Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we...

  • VP (Trading) -

    3 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited Full time

    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...

  • Regional Regulatory Compliance

    6 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Polymath Search Full time

    Regional Regulatory Compliance (AVP to VP) - Global Financial Institution in Hong Kong APAC Regulatory Compliance Officer (AVP to VP) - Global Financial Institution in Hong Kong We are partnering with a fast-expanding Global Financial Institution in Hong Kong and they are seeking a dynamic professional with around 8-15 years of experience from the asset...

  • VP of Healthcare Research

    1 day ago

    Hong Kong, Central and Western District, Hong Kong SAR China Talent Axis Management Consulting Group Ltd Full time

    Research Analyst OpportunityTalent Axis Management Consulting Group Ltd is seeking a talented Research Analyst to join our team and contribute to our expanding research capabilities in the healthcare sector.The ideal candidate will have a strong background in conducting research and analysis on the healthcare equities market for clients in the Greater China...