Market Compliance Specialist

3 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 (HKEX) is a leading exchange group that provides a platform for companies to list, trade, and clear securities. As Asia's most dynamic and vibrant capital markets hub, we connect investors, issuers, and intermediaries to facilitate deeper, more diverse, and liquid global capital markets.

We are a purpose-driven company, committed to the long-term development of our business and markets. Our purpose is to 'Connect, Promote, and Progress our Markets and the Communities they Support for the Prosperity of All.'


Job Description

The Market Surveillance and Monitoring Department is responsible for maintaining the integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants. This team plays a critical role in promoting effective market regulations for a fair, orderly, and reputable market.


Responsibilities
  • Support the team's efforts in enforcing HKEX rules and regulations on Exchange and Clearing Participants through conducting HKEX's Annual Attestation and Inspection Programme and thematic reviews.
  • Assist in organizing market education and communication events, including seminars and roundtables with industry associations, and 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 in collaboration 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
  • A university degree, preferably in Business Administration, Finance, Law, or related disciplines.
  • At least 7 years' relevant experience, of which 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.
  • A 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 (planning/testing/implementation) is an advantage.
  • Strong command of written and spoken English and Chinese (Cantonese). Proficiency in Putonghua is preferred.
  • Proficiency in data analytics and visualization tools to drive insights and facilitate management reporting.

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