SVP of Monitoring

2 weeks ago

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

SVP of Monitoring - Hong Kong Exchanges and Clearing Limited Job Summary: 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 regulators and other external stakeholders to promote effective market regulations for a fair, orderly and reputable market. Job Duties: Job Responsibilities: Lead and conduct investigations into suspected breaches of HKEX rules and requirements in relation to market misconduct by market participants. Lead and manage a fair and effective disciplinary process against market participants identified with serious breaches of HKEX rules and regulations. Drive initiatives to enhance data analytics and quantitative capabilities of the HKEX rule enforcement function, including the use of FinTech skills to identify potential rule violation activities. Review qualitative and quantitative analysis to identify trends, give insights and present observations and findings to senior management. Lead and manage enforcement‑related projects and represent the department in strategic projects initiated by other HKEX divisions. Closely follow the latest regulatory development, assess and recommend as appropriate. Provide full support to Department Head in communication and liaison with local and overseas regulators, market participants and relevant internal stakeholders. Undertake any ad‑hoc assignments as required. Job Requirements: University degree in Law, Finance or a related field. At least 15 years' relevant experience in securities law enforcement, regulatory compliance or a related field in well‑established financial institutions, of which at least 7 years at a management/supervisory level. In‑depth knowledge of HKEX rules and regulations, SFO and SFC guidelines as well as enforcement practices. Excellent leadership and ability to work effectively in a team environment. Solid knowledge of the securities and derivatives markets. Exposure to a variety of derivatives products and the China Stock Connect markets is an advantage. Proven ability to multitask and adjust effectively to changing priorities. Impeccable communication and interpersonal skills. Excellent command of written and spoken English and Chinese (Cantonese); proficiency in Putonghua is an advantage. Advanced analytical skills for handling large data sets and report writing skills focused on delivering insights, with strong attention to detail. Surveillance experience (trade/control room) is an advantage. Project management experience (planning/testing/implementation) 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 Scheduled Weekly Hours: 40 Worker Type: Permanent #J-18808-Ljbffr

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