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Lead Compliance Investigator
1 week ago
Company Overview: Hong Kong Exchanges and Clearing Limited (HKEX) is a purpose-driven company, connecting capital, ideas, inspiration, and innovation for deeper, more diverse, and liquid global capital markets. Our commitment to the long-term development of our business and markets is articulated in our purpose: To Connect, Promote, and Progress our Markets and the Communities they Support for the Prosperity of All.
Job Description: As a Lead Compliance Investigator, you will be responsible for investigating potential misconduct and breaches relating to the Listing Rules. You will conduct disciplinary action, including presentation before the Listing Committee, and assist in all enforcement matters. Additionally, you will provide assistance in formulating and implementing disciplinary and enforcement policy and procedures.
- This role requires a strong, balanced, and persuasive communicator with an enquiring mind and an eye for detail.
- The successful candidate will have the highest integrity and be motivated by the prospect of unravelling complex issues in the cause of fairness and justice.
Required Skills and Qualifications: To succeed in this role, you must be a qualified lawyer with at least 6 years of post-qualification experience (PQE). You should have civil litigation experience with substantial experience in drafting pleadings, witness statements, and legal advice. Experience in exchange disciplinary action, SFC disciplinary/court action, will be highly regarded.
- You should possess strong interpersonal and presentation skills, as well as strong analytical, writing, and advocacy skills.
- Fluency in written and spoken English is essential, and a good command of written and spoken Chinese (proficiency in Putonghua is preferred).
- You should be a professional and mature individual who can work efficiently and multitask.
- A team player with a strong work commitment is also required.
Benefits: HKEX is committed to being 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.
