AVP, Listing Enforcement

A leading financial services organization in Hong Kong is seeking an AVP - Listing Regulation and Enforcement to lead compliance efforts for 80–120 listed issuers. The ideal candidate will have experience in law or finance and skills in managing teams. Responsibilities include overseeing compliance, conducting proactive monitoring, and implementing...

AVP - Listing Regulation and Enforcement 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...

Associate - Listing Regulation and Enforcement (Legal, Accounting, Corporate Finance, Investment Banking) Join to apply for the Associate - Listing Regulation and Enforcement (Legal, Accounting, Corporate Finance, Investment Banking) role at Hong Kong Exchanges and Clearing Limited (HKEX) Company Introduction:We’re home to Asia's most dynamic and vibrant...

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Associate/AVP - Market Surveillance & Monitoring Add expected salary to your profile for insights Rule Enforcement : Conduct inspections, annual attestations, and thematic reviews Market Education : Organize seminars, roundtables, and publish compliance bulletins Reporting & Analytics : Prepare presentations and use data tools for insights System Testing :...

Temporary Manager (6-Month Contract) – Enforcement (Investigation – Corporate Misconduct Team) Ref.: SFC/TM/INVCMT/ENF/ Duties & Responsibilities The SFC is a world recognised regulator. Its Enforcement Division often works on cutting edge market and listed company crime and intermediary misconduct cases that are intellectually challenging and crucial to...

A financial regulatory body in Hong Kong is seeking a Temporary Manager for a 6-month contract in its Enforcement Division. The role involves investigating corporate misconduct, detecting fraud by listed companies, and preparing legal cases. Ideal candidates will have a relevant degree, professional qualifications in Law or Accounting, and at least five...

Looking for big 4 financial services audit bkgd ! Looking for non brokerage firm audit candidates ! About Our Client The client is a leading financial market operator that oversees trading activities across cash and derivatives markets in Hong Kong. It plays a central role in maintaining market integrity, enforcing regulatory compliance, and facilitating...

Manager - Enforcement (Investigation - Intermediary Misconduct Team) Duties & Responsibilities We are now seeking candidates for the Manager position in the Intermediary Misconduct Team (Investigation) of the Enforcement Division. The Enforcement Division investigates and combats market and listed company crimes, and intermediary misconduct. These...

Our client is a leading financial institution. Due to business needs, they are seeking a high calibre AVP/VP, Business Manager in Hong Kong. Responsibilities Report to the Managing Director of the business Support the execution of the business plan and management of Profit & Loss of the business Establish strong relationships and communications with internal...