Head of Monitoring

2 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:
Group Compliance seeks to ensure that HKEX Group has adequate processes and controls to comply with relevant laws and regulations. The team manages the second line of defence for regulatory risks by advising, assessing and monitoring first line of defence activities and adequacy of processes and controls.

Job Duties:

Reporting to the Group Chief Compliance Officer, the key responsibilities of the SVP, Head of Monitoring & Corporate Functions Compliance include:

Responsibilities:

  • Develop and implement a compliance monitoring program.
  • Provide advice and assistance to divisions and functional areas to design key controls and rectify weaknesses or where there are compliance breaches.
  • Manage the SFC and/or other regulators' on-site inspections process, including but not limited to, assistance to address comments/issues arising with appropriate actions plan, and where suitable, validation of remedial actions completion.
  • Conduct reviews/assessments on control environment of the divisions, functional areas, and ensure they are complying with relevant laws and regulations.
  • Provide compliance training to the divisions and functional areas.
  • Work with the Group Chief Compliance Officer to compile the yearly assessment report of the state of compliance to the relevant committee designated by the HKEX Board, and other governance reports.
  • Monitor regulatory commitments to regulators.
  • As a key member of the compliance team, help develop and drive the group's compliance program such that it is fit for purpose for the relevant business and for the organization as a whole.
Requirements:
  • An advanced degree or professional qualification in accounting, audit, law or finance.
  • Second Line of Defence advisory / monitoring / audit / inspections experience preferred.
  • In-depth knowledge of the operations and regulation of the local securities, derivatives and commodities markets.
  • Experience in the Mainland China securities and derivatives markets and knowledge in the Mainland China regulatory requirements an advantage.
  • A minimum of 15 years of proven relevant experience from an exchange, a clearing house, a financial institution, regulatory authority, and/or a law firm, which at least 10 years at a management level.
  • Ability to work with regulators as they exercise their regulatory powers over the exchange - onsite inspections, desktop reviews, etc.
  • Ability to promote awareness of relevant regulations and rules as well as to articulate issues and solutions in a multi-stakeholder environment.
  • Excellent conceptual, analytical, interpersonal, communication and presentation skills.
  • Team player and effective manager with proven resources management and leadership skills.
  • Strong command of written and spoken English and Chinese, and proficiency in Putonghua 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

  • Hong Kong, Central and Western District, Hong Kong SAR China VISTRA Full time

    It's never been a more exciting time to join Vistra. At Vistra, our purpose is progress. We believe that our clients have the power to change the world and to do great things for global progress, and we exist to remove the friction that comes from the complexity of global business – to help our clients achieve progress without friction. But progress only...


  • Hong Kong, Central and Western District, Hong Kong SAR China MUFG Full time

    Head of Loan Operations: We are seeking an experienced professional to lead our Loan Operations team. As a senior leader in loan operations, you will be responsible for strategic leadership, technical expertise, and communication with internal teams to ensure accuracy and adherence to service level agreements.Key Accountabilities:Strategic Leadership:...

  • Executive Head

    9 hours ago


    Hong Kong, Central and Western District, Hong Kong SAR China The Hong Kong Council of Social Service Full time

    We invite applications for the role of Executive Head at the Hong Kong Council of Social Service (HKCSS). As a leading organization in the social service sector, we aim to advance the well-being of the Hong Kong community.In this key position, you will provide strategic direction, leadership, and oversight to ensure the effective operation of HKCSS. Your...


  • Hong Kong, Central and Western District, Hong Kong SAR China International Executive Service Corps Full time

    Join our dynamic team at International Executive Service Corps as a Head of Operations Support!About the Role:We are seeking a highly skilled and experienced Head of Operations Support to lead our account opening operations team.Key Responsibilities:Process Oversight: Monitor and supervise the implementation of effective processes to ensure seamless account...

  • Head of Control

    4 hours ago


    Hong Kong, Central and Western District, Hong Kong SAR China BOC International Full time

    The Role VP, Head of Control Room, Legal & Compliance Division Key Accountabilities Responsible for the development and implementation of appropriate compliance process, systems and controls for the Control Room and investment banking / corporate financing (IBD) function, including staff dealing policy and monitoring, maintenance of watch and restricted...

  • Head of Accounting

    6 days ago


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

    Main responsibilitiesTo prepare monthly book closing and reports To ensure transactions and accounts are accurate, identify errors and make corrections as needed. To approve the daily entries for accounts department To check and verify all reports to Hong Kong Monetary Authority are timely and effectively delivered To check and review various statistic...


  • Hong Kong, Central and Western District, Hong Kong SAR China Standard Chartered Life and Careers Full time

    We are seeking a seasoned Risk Management and Governance professional to lead our efforts in maintaining a robust risk framework. As the Head of Risk Management and Governance, you will be responsible for establishing a sound and robust Traded Risk framework for GCNA businesses.Your primary responsibilities will include:Establishing effective reporting and...


  • Hong Kong, Central and Western District, Hong Kong SAR China The Hong Kong Institute of Bankers Full time

    About the RoleWe are seeking a Head of Training and Education to lead our training programmes and drive commercialisation of a broad range of HKIB training programmes to the industry. The successful candidate will be responsible for defining business development plans, managing client relationships, and contributing to marketing strategy and...


  • Hong Kong, Central and Western District, Hong Kong SAR China HKBN Full time

    Head of Corporate Affairs & CommunicationsThe Head of Corporate Affairs & Communications will strategically lead the development and execution of integrated communications and marketing strategies that enhance the organization's reputation, support brand visibility, and engage stakeholders effectively. This role encompasses corporate branding, crisis...


  • Hong Kong, Central and Western District, Hong Kong SAR China JC Executive Search Full time

    We are seeking a highly skilled Head of Global Hiring to join our team at JC Executive Search.About the Role:This role will involve overseeing the Hong Kong region and reporting directly to the Head of Talent Acquisition.The successful candidate will monitor regional trends in recruiting and define critical key points of an effective and efficient talent...


  • Hong Kong, Central and Western District, Hong Kong SAR China BBVA Full time

    BBA is committed to fostering a culture of innovation, collaboration, and excellence. As Head of Strategy, CIB Asia, you will be part of this journey, driving business growth and development through strategic planning and execution.About the Job:Develop and implement strategic plans to drive business growth and expansion in Asia.Build and maintain strong...


  • Hong Kong, Central and Western District, Hong Kong SAR China Hong Kong Institute of Certified Public Accountants (HKICPA) Full time

    Sustainability Leadership OpportunityThe Hong Kong Institute of Certified Public Accountants (HKICPA) is seeking a Head of Sustainability Department to lead our efforts in developing and implementing a comprehensive sustainability strategy. As a key member of our leadership team, you will be responsible for driving our sustainability agenda and ensuring that...

  • Head of English

    1 week ago


    Hong Kong, Central and Western District, Hong Kong SAR China Oakridge International School, Bengaluru Full time

    School: Nord Anglia International School Hong KongNord Anglia International School Hong Kong is a through-train day school known for its warm and friendly global community, made up of over 40 nationalities. Opened in 2014, the school provides extraordinary learning opportunities to students ages 3 to 18. The school follows the English National Curriculum...


  • Hong Kong, Central and Western District, Hong Kong SAR China Interfill Group Full time

    My client is a stable and reputable Foreign Corporate Bank branch in Hong Kong, currently looking for a new Team Head to lead the market and liquidity risk sub-team.  Responsibilities:Develop and implement robust market and liquidity risk management strategies in line with regulatory requirements and best practices, covering both market and trading book...


  • Hong Kong, Central and Western District, Hong Kong SAR China Hong Kong Institute of Certified Public Accountants (HKICPA) Full time

    Sustainability ProfessionalThe Hong Kong Institute of Certified Public Accountants (HKICPA) is seeking a highly motivated and experienced professional to join our team as a Head of Corporate Responsibility. In this key role, you will be responsible for driving the institute's corporate responsibility agenda and promoting environmental sustainability within...

  • Head of Compliance

    1 day ago


    Hong Kong, Central and Western District, Hong Kong SAR China HARBRIDGE PARTNERS Full time

    Responsibilities:  Reporting to the APAC Head, the Head of Compliance-Hong Kong will oversee and advise on all Hong Kong-related compliance and regulatory matters, including:Being the primary liaison to the SFC exchanges and other regulatory bodies; Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance...


  • Hong Kong, Central and Western District, Hong Kong SAR China Bank of Communications (Hong Kong) Limited Full time

    About the Role:The Head of International Merchant Strategy will be responsible for leading the development of our international merchant strategy, focusing on recruiting renowned overseas merchants and growing our credit card business.Key Objectives:Develop and implement strategies to recruit and retain high-value overseas merchants.Drive business growth...


  • Hong Kong, Central and Western District, Hong Kong SAR China JC Executive Search Full time

    About the RoleJC Executive Search is seeking an experienced Head of Sourcing and Procurement to join our team.In this role, you will be responsible for developing and implementing effective sourcing strategies to meet business needs. You will oversee the procurement process, manage a small team, and provide expert advice to departments and stakeholders.Your...

  • Head of product

    2 weeks ago


    Hong Kong, Central and Western District, Hong Kong SAR China Tbwa ChiatDay Inc Full time

    CASETi FY is a leading global lifestyle brand known for its customizable tech accessories that champion self-expression. With our accelerating growth globally, we are looking for a Head of Product to drive growth in sales and product ranges. Reporting to the CEO, this role requires a deep understanding of consumer needs and market dynamics to create the...


  • Hong Kong, Central and Western District, Hong Kong SAR China Standard Chartered Life and Careers Full time

    We're seeking a highly skilled Head of Cash and Product Strategy to join our team at Standard Chartered. As a key member of our organization, you will be responsible for developing and executing a comprehensive strategy for our Cash product.Main Responsibilities:Lead the development and implementation of a comprehensive strategy for our Cash product,...