Market Regulation Associate

1 month ago

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

We are seeking a highly motivated and experienced professional to join our Market Surveillance and Monitoring team at Hong Kong Exchanges and Clearing Limited (HKEX). As an AVP/Associate - Market Surveillance and Monitoring (Enforcement), you will play a critical role in supporting our team's efforts in enforcing HKEX rules and regulations on Exchange and Clearing Participants.

Key Responsibilities:

  • Support the team in conducting HKEX's Annual Attestation and Inspection Programme and thematic reviews to ensure compliance with HKEX rules and regulations.
  • Assist in organizing market education and communication events, including seminars and roundtables with industry associations, and the publication of compliance bulletins.
  • Prepare presentation materials and produce data analytics for routine or ad-hoc reporting to management and regulators.
  • Perform UAT testing and contribute to the implementation of rule enforcement systems.
  • Work collaboratively with other team members to develop, maintain, and review internal policies and procedures, and explore opportunities to automate daily workflows or system enhancements.
  • Provide full support to the 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 in Business Administration, Finance, Law, or related disciplines.
  • At least 7 years' relevant experience, with at least 2 years at a management/supervisory level, 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 multitask and adjust effectively to changing priorities.
  • Self-starter, able to work independently, highly motivated with a strong delivery focus.
  • Meticulous attention to detail, 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). Proficiency in Putonghua is preferred.
  • Candidates with less experience will be considered as Associates.

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.

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