Market Surveillance Expert Leader

6 days ago


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

Company Overview:

">

Hong Kong Exchanges and Clearing Limited is a purpose-driven company that connects, promotes, and progresses its markets and communities for prosperity. We aim to maintain the integrity of our cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants.

">

About the Role:

">

We are seeking a Senior Vice President to lead our Market Surveillance & Monitoring Department. The successful candidate will work proactively and collaboratively with regulators and other external stakeholders to promote effective market regulations for a fair, orderly, and reputable market.

">

Key Responsibilities:

">
  • ">
  • Lead investigations into suspected breaches of HKEX rules and requirements in relation to market misconduct by market participants">
  • 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">
  • Review qualitative and quantitative analysis to identify trends 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 and assess recommendations as appropriate">
  • Provide full support to Department Head in communication and liaison with local and overseas regulators, market participants, and relevant internal stakeholders">
">

Requirements:

">

To be successful in this role, you will need:

">
  • ">
  • A 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">
  • In-depth knowledge of HKEX rules and regulations, SFO, and SFC guidelines as well as enforcement practices">
  • Excellent leadership and teamwork skills">
  • Solid knowledge of the securities and derivatives markets">
  • 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 on handling large data sets and report writing skills focused on delivering insights">
">

Benefits:

">

HKEX offers a range of benefits to support your career and well-being, including a competitive salary package, comprehensive training programs, and opportunities for professional growth and development.

">

Location and Working Hours:

">

The role is based at HKEX's Exchange Square office in Hong Kong SAR, with a standard working hours of 40 hours per week.

">

Contact Information:

">

Please submit your application through our website.

">



  • Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full time

    About the Team">The Regional Leader for Capital Markets Surveillance will oversee a team of 20+ individuals, comprising onshore and offshore staff in Hong Kong, Japan, and India. The successful candidate will provide leadership and guidance to the team, driving change and development through innovation. Key Qualifications: 15 years of relevant experience...


  • Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full time

    About the RoleThe Regional Head of Capital Markets Regulatory Surveillance will be responsible for providing strategic leadership to a team of 20+ individuals across Hong Kong, Japan, and India.This role involves designing and implementing surveillance strategies and processes, leveraging data-driven performance indicators to prioritize work, and staying...


  • Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full time

    About the OpportunityThis is a unique opportunity to join SGS Société Générale de Surveillance SA as a Regional Head of Capital Markets Regulatory Surveillance in the Asia-Pacific region. As a seasoned professional with a thorough understanding of financial markets, conduct risk, trading data, and data governance, you will be responsible for overseeing...


  • Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full time

    About the PositionThe Regional Head of Capital Markets Regulatory Surveillance is a critical role that requires strong expertise in financial markets, conduct risk, trading data, and data governance. As a senior leader, you will be responsible for developing and implementing compliance surveillance and control strategies across the Asia-Pacific region.Key...


  • Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full time

    Job DescriptionDesign and implement a comprehensive surveillance strategy, incorporating data-driven performance indicators and effective planning and oversight.Leverage industry trends and best practices to ensure the firm's surveillance coverage remains current and effective.Manage a team of 10 onshore and 9 offshore staff, providing leadership and...


  • Hong Kong, Central and Western District, Hong Kong SAR China Amber Group Full time

    We're looking for a talented Transaction Monitoring Officer to join our APAC team at Amber Group. As a key player in our financial crime prevention efforts, you'll work closely with our regional HR and Talent Acquisition teams to identify and mitigate potential risks.The ideal candidate will possess a strong understanding of regulatory frameworks, including...


  • Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full time

    About the Role">The Head of Asia-Pacific Markets Regulatory Oversight will be responsible for leading the surveillance program across various business lines, ensuring compliance with regulatory requirements and industry best practices. This role requires a seasoned professional with a thorough understanding of financial markets, conduct risk, and data...


  • Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full time

    About the RoleThe Regional Head of Capital Markets Regulatory Surveillance is a senior leadership position that oversees the development and implementation of compliance surveillance and control strategies across the Asia-Pacific region. This role requires strong expertise in financial markets, conduct risk, trading data, and data governance.Key...


  • Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full time

    About the RoleThe Regional Head of Capital Markets Regulatory Surveillance will play a pivotal role in ensuring the firm's compliance with regulatory requirements across the Asia-Pacific region.This is an exciting opportunity for a seasoned professional to lead a team of 20+ individuals and drive change through innovation, leveraging technology to improve...


  • Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full time

    About the RoleThe Regional Head of Capital Markets Regulatory Surveillance will provide strategic leadership to a team of 20+ individuals across Hong Kong, Japan, and India. This role is responsible for defining and implementing a compliance surveillance and control setup on the perimeter under their responsibility.Key responsibilities include:Designing and...


  • Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full time

    About the RoleThe Client Lifecycle Intelligence and Digital department at SGS Société Générale de Surveillance SA is seeking a skilled Client Onboarding Expert to join our team. In this role, you will be responsible for ensuring seamless client onboarding experiences across our Global Banking and Investor Solutions activities.Key Responsibilities:Lead...


  • Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full time

    About the JobThe Regional Head of Capital Markets Regulatory Surveillance will play a critical role in ensuring the firm's compliance with regulatory requirements and maintaining a strong reputation in the market.This role involves providing strategic leadership to a team of 20+ individuals across Hong Kong, Japan, and India, and collaborating with global...


  • Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full time

    Job DescriptionThis Junior Financing Expert position is part of the Financing & Advisory Group at SGS Société Générale de Surveillance SA. The successful candidate will be involved in the execution of financings and debt advisories for our Asian clients.Support deal teams on transaction support, including financial modeling, review of documentation, and...

  • Pension Expert Leader

    23 hours ago


    Hong Kong, Central and Western District, Hong Kong SAR China Mercer Full time

    At Mercer, we are seeking a seasoned Pension Expert Leader to join our Wealth team in Hong Kong. This role offers the opportunity to lead client delivery and drive business growth by overseeing project execution and developing deep relationships with clients.Job DescriptionThis is a hybrid role that requires working at least three days a week in the office,...


  • Hong Kong, Central and Western District, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited Full time

    Company Overview:Hong Kong Exchanges and Clearing Limited (HKEX) is a leading exchange group that facilitates the flow of capital, ideas and innovation between Asia's most dynamic markets. We are committed to our purpose of connecting, promoting and progressing our markets and communities for the prosperity of all.Job Description:The Market Surveillance &...


  • Hong Kong, Central and Western District, Hong Kong SAR China Hong Kong Technology Venture Career Full time

    Job SummaryHong Kong Technology Venture Career is looking for a Strategic Marketing Leader to play a key role in driving business growth through effective marketing strategies.ResponsibilitiesFormulate and execute comprehensive marketing strategies, including CRM, SEO, campaigns, and other marketing initiatives, to drive customer acquisition and...


  • Hong Kong, Central and Western District, Hong Kong SAR China KOS International Limited Full time

    Senior Marketing Leadership OpportunityKOS International Limited seeks an experienced Senior Marketing Leader to join our team. As a key member of our leadership team, you will be responsible for driving business growth through innovative marketing strategies and delivering exceptional customer experiences.Your key responsibilities will include:Formulating...


  • Hong Kong, Central and Western District, Hong Kong SAR China Amber Group Full time

    At Amber Group, we're shaping the future of digital asset services. Our team is passionate about delivering exceptional liquidity solutions and cutting-edge trading infrastructure to clients worldwide.We're seeking a highly skilled Transaction Monitoring Officer to join our APAC team. As a key player in our financial crime prevention efforts, you'll work...


  • Hong Kong, Central and Western District, Hong Kong SAR China BOC Group Life Assurance Company Limited Full time

    The BOC Group Life Assurance Company Limited is seeking a Marketing Strategy Leader to drive the development and management of marketing partnerships that align with our business goals. The successful candidate will be responsible for developing strategic partnerships with key stakeholders, including brands, influencers, and other relevant entities.Key...


  • Hong Kong, Central and Western District, Hong Kong SAR China Wrapology (International) Ltd Full time

    We are looking for a skilled Product Packaging Expert Leader to join our dynamic team at Wrapology (International) Ltd. In this role, you will be responsible for overseeing all aspects of packaging production, from procurement to implementation.The ideal candidate will have a strong understanding of packaging factories and a focus on efficiency, quality...