Senior Market Surveillance Specialist
2 weeks ago
About the Role:
We are seeking a highly skilled Senior Market Surveillance Specialist to join our Enforcement team. The successful candidate will be responsible for enforcing HKEX rules and regulations against Exchange and Clearing Participants through our Annual Atttestation 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 bulletin
* Prepare presentation materials and produce data analytics for routine or ad-hoc reporting to management and regulators
* Contribute to 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
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 of which 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 multi task and able to 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
About Us:
HKEX is committed as 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.
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