Head of Monitoring

1 week 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

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