Senior Market Surveillance and Enforcement Specialist

19 hours ago

Hong Kong, Central and Western District, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited Full time
About the Role

We are seeking a highly skilled Senior Market Surveillance and Enforcement Specialist to join our team in Hong Kong. This is an exciting opportunity to work with a leading exchange and clearing house, driving market integrity and protecting investors.

Job Summary

The successful candidate will be responsible for enforcing HKEX rules and regulations against Exchange and Clearing Participants through our Annual Attestation and Inspection Programme and thematic reviews. Key duties include conducting investigations, providing support in disciplinary proceedings, reviewing and enhancing internal policies and procedures, and contributing to market education and communication events.

Key Responsibilities:
  • Enforce HKEX rules and regulations through annual attestations and inspections, thematic reviews, and other means.
  • Conduct investigations and provide support in preparing disciplinary proceedings arising from rule violations.
  • Work closely with the team lead on reviewing and enhancing internal policies and procedures to ensure effective functioning of the team.
  • Support market education and communication events, including seminars and roundtables with industry associations, and publication of compliance bulletins.
Requirements:
  • University degree, preferably in Business Administration, Finance, Law, or related disciplines.
  • Good knowledge of the securities and derivatives markets, with exposure to China Stock Connect markets being an advantage.
  • At least 10 years of relevant experience, with at least 5 years at a management/supervisory level, preferably in audit, inspection, enforcement, compliance, or advisory roles with regulators or well-established financial institutions.
  • Strong knowledge of HKEX rules and regulations, as well as SFO, SFC codes, and guidelines, with enforcement experience being an advantage.
  • Proven ability to multitask and 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 is an advantage.
  • Strong command of written and spoken English and Chinese (Cantonese), with proficiency in Putonghua preferred.
What We Offer

As a Senior Market Surveillance and Enforcement Specialist with us, you will enjoy a competitive salary of $HKD120,000 - $HKD180,000 per annum, depending on experience, along with opportunities for career growth and professional development. Our company values diversity and inclusion, and we are committed to creating a workplace that supports the well-being and success of our employees.

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