AVP - Listing Regulation and Enforcement
6 days ago
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 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: The role leads and manages a sub-team of 1–2 people within a team of 7, overseeing a portfolio of 80–120 listed issuers and ensuring compliance with Listing Rules. Duties include proactive monitoring, developing operational improvements, training new and junior team members, project management, and providing accounting, legal, and professional support. Responsibilities Leads and manages a sub-team, monitoring 80–120 listed issuers for Listing Rules compliance, including administering and interpreting the Rules, handling listing and waiver applications, and reviewing issuers’ communications. Conducts proactive monitoring of listed issuers’ continuing listing obligations, identifies complex issues and emerging trends, and resolves them. Drives department development by encouraging operational improvement initiatives. Trains and monitors progress of new/junior team members and assists in identifying their training needs. Leads or participates in department projects covering project management, data analytics, IT, newsletters, and seminars. Provides accounting, legal, and professional support for novel and complex issues. Requirements Qualified lawyers, accountants, or university graduates in relevant disciplines with at least 8 years of experience in law, accounting, corporate finance, investment banking or related fields, including a minimum of 2 years at management/supervisory level. Advanced knowledge of the Listing Rules and securities industry practices, including securities laws and accounting practices. Strong interpersonal and presentation skills with knowledge of investigative techniques and procedures. Proficient in written and spoken English and Chinese; proficiency in Putonghua is essential. Location HKEX – Exchange Square Shift Standard – 40 Hours (Hong Kong SAR) Scheduled Weekly Hours 40 Worker Type Permanent 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
-
AVP, Listing Regulation
6 days ago
Hong Kong Island, Hong Kong SAR China Hong Kong Exchanges & Clearing Ltd Full timeA 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 Enforcement
4 days ago
hong kong, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited (HKEX) Full timeOverview Join to apply for the AVP, Listing Enforcement role at Hong Kong Exchanges and Clearing Limited (HKEX) . Job summary: You will be provided with an interesting mix of investigative and disciplinary case work, together with challenging project work. You will need to be a strong, balanced and persuasive communicator, with an enquiring mind and an eye...
-
hong kong, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited (HKEX) Full timeAssociate - 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...
-
Legal Counsel
4 days ago
Hong Kong Island, Hong Kong SAR China Michael Page International (Hong Kong) Limited Full timeAbout Our Client Our client is a regulatory organization in HK. They are looking for an in-house Counsel to join their regulatory team and focus on enforcement and disciplinary matters. Job Description Legal Advisory: Provide expert legal advice on enforcement actions, disciplinary procedures, and related regulatory matters. Interpret and apply relevant...
-
Temporary Manager
2 days ago
hong kong, Hong Kong SAR China Securities and Futures Commission Full timeTemporary 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...
-
hong kong, Hong Kong SAR China Securities and Futures Commission Full timeManager - 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...
-
Associate/AVP - Market Surveillance & Monitoring
10 hours ago
Hong Kong Island, Hong Kong SAR China Michael Page International (HK) Ltd Full timeAssociate/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 :...
-
Contract Manager, Enforcement
2 days ago
hong kong, Hong Kong SAR China Securities and Futures Commission Full timeA 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...
-
hong kong, Hong Kong SAR China Michael Page International (Hong Kong) Limited Full timeLooking 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...
-
Online Enforcement Specialist, APAC
1 week ago
hong kong, Hong Kong SAR China ALO Full time2 days ago Be among the first 25 applicants WHY JOIN ALO Mindful movement. It’s at the core of why we do what we do at ALO—it’s our calling. Because mindful movement in the studio leads to better living. It changes who yogis are off the mat, making their lives and their communities better. That’s the real meaning of studio‑to‑street: taking the...
