Associate - Market Surveillance & Monitoring (Enforcement) - Operations...

6 days ago

Hong Kong Island, Hong Kong SAR China Hong Kong Exchanges & Clearing Ltd Full time

Associate - Market Surveillance & Monitoring (Enforcement) - Operations The Market Surveillance & Monitoring Department is primarily responsible for maintaining the integrity of the cash and derivatives markets through real‑time trade monitoring and enforcing rule compliance of HKEX Participants. It also cooperates with Hong Kong and Mainland regulators on their investigation of cross-boundary market misconduct under the China Stock Connect markets. The incumbent will work proactively and collaboratively with other HKEX internal stakeholders to promote effective market regulations for a fair, orderly and reputable market. Responsibilities Support team’s efforts in enforcement of HKEX rules and regulations on Exchange and Clearing Participants through conducting HKEX’s Annual Attestation and Inspection Programme and thematic reviews Assist in organising market education and communication events, including seminars and roundtables with industry associations, and publication of compliance bulletin Prepare presentation materials and produce data analytics for routine or ad‑hoc reporting to management and regulators Perform UAT testing and contribute to implementation of rule enforcement systems Work in collaboration with other team members to develop, maintain and review internal policies and procedures Provide full support to team lead in communication and liaison with local and overseas regulators, market participants and relevant internal stakeholders Undertake any ad‑hoc assignments as required Requirements University degree, preferably in Business Administration, Finance, Law or related disciplines At least 3 years’ relevant experience, preferably in audit, inspection, enforcement, compliance or advisory roles with regulators or in well‑established financial institutions Good knowledge of HKEX rules and regulations as well as SFO, SFC codes and guidelines. Enforcement experience is an advantage Proven ability to multi task and able to adjust effectively to changing priorities Self‑starter, able to work independently, highly motivated with a strong delivery focus Meticulous attention to details, strong analytical and problem‑solving skills Strong interpersonal and presentation skills (verbal and written) Project management experience (planning/testing/implementation) is an advantage Strong command of written and spoken English and Chinese (Cantonese). Proficiency in Putonghua is preferred Proficiency in data analytics and visualization tools to drive insights and facilitate management reporting. Hands‑on experience in Microsoft Power suite and Tableau 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. #J-18808-Ljbffr

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