Current jobs related to Market Surveillance and Enforcement Specialist - Hong Kong, Central and Western District - Hong Kong Exchanges and Clearing Limited

  • Market Surveillance and Enforcement Specialist

    4 weeks ago

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

    Job Summary: We are seeking a highly skilled Market Surveillance and Enforcement Specialist to join our team at Hong Kong Exchanges and Clearing Limited. 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...

  • Market Surveillance and Compliance Specialist

    13 hours ago

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

    Job OverviewHong Kong Exchanges and Clearing Limited is a leading exchange operator that connects the world's capital markets. As an AVP/Associate - Market Surveillance and Monitoring (Enforcement), you will play a key role in enforcing HKEX rules and regulations.About the RoleThis is a permanent position, with a scheduled weekly hour of 40 hours. You will...

  • Market Surveillance and Monitoring Associate

    4 weeks ago

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

    Job Overview:As a key member of the Market Surveillance & Monitoring Department, you will play a vital role in maintaining the integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants. Your expertise will be instrumental in promoting effective market regulations for a fair, orderly,...

  • Market Surveillance and Monitoring Associate

    4 weeks 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 connects and promotes the growth of Asia's capital markets. Our purpose is to connect, promote, and progress our markets and the communities they support for the prosperity of all.Job Summary:The Market Surveillance & Monitoring Department is responsible for...

  • Market Surveillance and Monitoring Associate

    4 weeks 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 leading financial market operator, connecting Asia's most dynamic and vibrant capital markets. Our purpose is to promote and progress our markets and the communities they support for the prosperity of all.Job Summary:We are seeking a highly motivated and experienced professional to join our...

  • Market Surveillance and Regulatory Compliance Specialist

    2 weeks 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 leading financial market infrastructure operator. We provide world-class exchange and clearing services, connecting global and regional market participants.Job Summary: The Market Surveillance and Monitoring Department plays a critical role in maintaining market integrity. The team is...

  • Trade Surveillance Specialist

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Ashford Benjamin Ltd Full time

    Ashford Benjamin Ltd is seeking a skilled Trade Surveillance Specialist to develop and maintain comprehensive surveillance systems to identify potential market manipulation and insider trading.Key Responsibilities:Design and implement surveillance systems to detect trading irregularitiesExtract and analyze large datasets to support trade surveillance...

  • Market Surveillance Expert

    7 days ago

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

    Job SummaryThe Hong Kong Exchanges and Clearing Limited is seeking a highly skilled Market Surveillance Expert to join our team. As a key member of our Market Surveillance & Monitoring Department, you will play a critical role in maintaining the integrity of our cash and derivatives markets.About UsHong Kong Exchanges and Clearing Limited is home to Asia's...

  • Market Regulation Associate

    1 day 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...

  • Senior Market Integrity Specialist

    1 day ago

    Hong Kong, Central and Western District, Hong Kong SAR China PFCC Group Limited Full time

    **Job Overview:**PFC Group Limited is seeking a highly skilled and experienced Senior Market Integrity Specialist to join our team in Hong Kong. This role will play a critical part in ensuring the integrity of our markets by identifying and mitigating potential risks.**Salary:** HKD 60,000 - 80,000 per month (dependent on experience)**Key Responsibilities:We...

  • Equities Compliance Specialist for Global Markets

    13 hours ago

    Hong Kong, Central and Western District, Hong Kong SAR China Larson Maddox Full time

    Job DescriptionLarson Maddox is seeking an experienced Equities Compliance Associate to join our compliance team. This role is ideal for candidates with a strong background in trade surveillance and a deep understanding of global market compliance.Key ResponsibilitiesDevelop and enhance compliance policies and procedures tailored to global markets, ensuring...

  • Compliance Specialist, FICC Markets

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Goldman Sachs Full time

    Compliance Role OverviewAt Goldman Sachs, we are seeking a highly skilled Compliance Specialist to join our Global Markets Compliance team. As a Compliance Specialist, you will play a critical role in preventing, detecting, and mitigating compliance, regulatory, and reputational risk across the firm.Key ResponsibilitiesProvide real-time compliance advice to...

  • Compliance Specialist

    4 weeks ago

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

    Job SummaryWe are seeking a highly skilled Compliance Specialist to join our team at moomoo. The successful candidate will be responsible for assisting in day-to-day compliance matters, including trade surveillance work, providing compliance advice and support to business initiatives, and handling regulatory reporting and inquiries with the relevant...

  • Market Conduct Analyst

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China PFCC Group Limited Full time

    Key Responsibilities:Evaluate client behavior related to potential abusive, manipulative, or illegal trading activities.Conduct thorough investigations into client and exchange information to identify suspicious activities.Report to compliance regarding potential market abuse activities and provide necessary information for corrective measures.Monitor risk...

  • Compliance Risk Specialist

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Jane Street Full time

    About the PositionWe're seeking a skilled Compliance Risk Specialist to ensure our Asia offices comply with local, APAC, and international laws and regulations. This involves regulatory filings, trade surveillance, monitoring tasks, and overseeing control room function activities in a fast-paced environment.About YouUndergraduate degree in finance,...

  • Network Operations Specialist

    4 weeks ago

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

    Job SummaryWe are seeking a highly skilled Network Operations Specialist to join our team at HKT. The successful candidate will be responsible for carrying out network surveillance, supporting impact analysis, and attending shift duty to support 24/7 center operation.Key ResponsibilitiesCarry out network surveillance for Voice, Broadband, Data, and Cloud...

  • Capital Markets Development Specialist

    2 weeks ago

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

    Job Title: Capital Markets Development SpecialistCompany Introduction:At Hong Kong Exchanges and Clearing Limited, we're committed to connecting capital, ideas, inspiration, and innovation for deeper, more diverse, and liquid global capital markets. Our purpose is to connect, promote, and progress our markets and the communities they support for the...

  • Equities Compliance Specialist

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Larson Maddox Full time

    Equities Compliance AssociateAt Larson Maddox, we are seeking an experienced Equities Compliance Associate to join our compliance team. This role is ideal for candidates with a strong background in trade surveillance and a deep understanding of global market compliance.Key ResponsibilitiesDevelop and enhance compliance policies and procedures tailored to...

  • Strategic Market Development Specialist

    13 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 skilled and experienced Strategic Market Development Specialist to join our team at Hong Kong Exchanges and Clearing Limited (HKEX). This is an exciting opportunity to contribute to the development and optimization of the Hong Kong market structure.Job Description:The successful candidate will support daily operations and...

  • AML Compliance Specialist Hong Kong

    13 hours ago

    Hong Kong, Central and Western District, Hong Kong SAR China Ashford Benjamin Ltd Full time

    Ashford Benjamin Ltd is a leading recruitment agency in the region, and we are seeking an experienced AML Compliance Specialist to join our team in Hong Kong.Salary: HKD 600,000 - 800,000 per annumAbout this role:This is an exciting opportunity for a skilled professional to take on a key advisory role in AML compliance. You will be responsible for...

Market Surveillance and Enforcement Specialist

1 month ago

Hong Kong, Central and Western District, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited Full time
Job Title: VP - Market Surveillance & Monitoring (Enforcement)

Company Overview:
HKEX is a leading exchange and clearing house in Asia, connecting capital, ideas, inspiration, and innovation for deeper, more diverse, and liquid global capital markets. Our purpose is to promote and progress our markets and the communities they support for the prosperity of all.

Job Summary:
We are seeking a highly skilled and experienced professional to join our Enforcement team as a VP - Market Surveillance & Monitoring (Enforcement). 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 Responsibilities:
  • Conduct investigations and provide support in the preparation of disciplinary proceedings arising from rule violations.
  • Work closely with the team lead on the review and enhancement of internal policies and procedures for the effective functioning of the team.
  • Support 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.
  • Contribute to the development and implementation of initiatives 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, preferably in Business Administration, Finance, Law, or related disciplines.
  • Good knowledge of the securities and derivatives markets. Exposure to the China Stock Connect markets is an advantage.
  • At least 10 years of proven 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. 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 details, 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.

Location: HKEX - Exchange Square

Shift: N/A

Scheduled Weekly Hours: 40

Worker Type: Permanent