Market Surveillance and Monitoring Associate

7 days ago

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

At Hong Kong Exchanges and Clearing Limited, we are committed to connecting, promoting, and progressing our markets and the communities they support for the prosperity of all. Our purpose-driven company is home to Asia's most dynamic and vibrant capital markets, providing greater choice and opportunity for our customers every day.

Job Summary:

We are seeking a highly motivated and detail-oriented individual to join our team as an AVP/Associate - Market Surveillance and Monitoring (Enforcement). In this role, you will 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.

Key Responsibilities:

  • Conduct inspections and reviews of Exchange and Clearing Participants to ensure compliance with HKEX rules and regulations.
  • 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:

  • University degree, preferably 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 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.
  • Candidate with less experience will be considered as Associate.

Location:
HKEX - Exchange Square

Shift:
N/A

Scheduled Weekly Hours:
40

Worker Type:
Permanent

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