Chief Compliance Officer for Regulatory Risks

4 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 Asia's most dynamic and vibrant capital markets. We're a purpose-driven company, committed to the long-term development of our business and our markets. Our purpose is 'To Connect, Promote and Progress our Markets and the Communities they support for the prosperity of all.'

Job Summary:

The Group Compliance team seeks to ensure that HKEX has adequate processes and controls to comply with relevant laws and regulations. The team manages the second line of defence for regulatory risks by advising, assessing and monitoring first line of defence activities and adequacy of processes and controls.

Key Responsibilities:

  • Develop and implement a compliance monitoring program to identify and mitigate regulatory risks.
  • Provide advice and assistance to divisions and functional areas to design key controls and rectify weaknesses or where there are compliance breaches.
  • Manage the SFC and/or other regulators' on-site inspections process, including but not limited to, addressing comments/issues arising with appropriate actions plan, and where suitable, validation of remedial actions completion.
  • Conduct reviews/assessments on control environment of the divisions, functional areas, and ensure they are complying with relevant laws and regulations.
  • Provide compliance training to the divisions and functional areas.
  • Work with the Group Chief Compliance Officer to compile the yearly assessment report of the state of compliance to the relevant committee designated by the HKEX Board, and other governance reports.
  • Monitor regulatory commitments to regulators.
  • As a key member of the compliance team, help develop and drive the group's compliance program such that it is fit for purpose for the relevant business and for the organization as a whole.

Requirements:

  • An advanced degree or professional qualification in accounting, audit, law or finance.
  • Second Line of Defence advisory / monitoring / audit / inspections experience preferred.
  • In-depth knowledge of the operations and regulation of the local securities, derivatives and commodities markets.
  • Experience in the Mainland China securities and derivatives markets and knowledge in the Mainland China regulatory requirements an advantage.
  • A minimum of 15 years of proven relevant experience from an exchange, a clearing house, a financial institution, regulatory authority, and/or a law firm, which at least 10 years at a management level.
  • Ability to work with regulators as they exercise their regulatory powers over the exchange - onsite inspections, desktop reviews, etc.
  • Ability to promote awareness of relevant regulations and rules as well as to articulate issues and solutions in a multi-stakeholder environment.
  • Excellent conceptual, analytical, interpersonal, communication and presentation skills.
  • Team player and effective manager with proven resources management and leadership skills.
  • Strong command of written and spoken English and Chinese, and proficiency in Putonghua an advantage.

What We Offer:

  • We are an Equal Opportunity Employer and value diversity within our workplace.

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