Chief Compliance Officer

1 month 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 purpose-driven company that aims to connect, promote, and progress its markets and the communities they support. With a commitment to long-term development, HKEX strives to provide greater choice and opportunity for its customers.

About the Role:

We are seeking a skilled Chief Compliance Officer - Regulatory Policy and Markets to join our team. This role will be responsible for managing an internal end-to-end service to facilitate business and market initiatives, and interactions with regulators and government agencies. The successful candidate will advise HKEX on compliance with relevant laws, rules, and regulations across the regulatory landscape.

Key Responsibilities:

  • Provide compliance and regulatory support to facilitate business matters, products, projects, and initiatives
  • Assess HKEX's compliance with relevant laws and regulations, as well as internal policies and procedures
  • Provide compliance support on HKEX's anti-financial crime framework, including conducting due diligence, screening using electronic databases, research, and preparing reports and documentation for review
  • Assist in drafting and reviewing internal compliance policies, procedures, and guidelines
  • Coordinate and prepare divisions and functional areas for reviews or international assessments
  • Communicate and work closely with internal teams and HKEX's regulators across jurisdictions
  • Involved in developing internal training, including drafting of training materials and presentations
  • Support ad-hoc projects related to regulatory technology

Requirements:

  • Bachelor's degree or equivalent in Law, Accounting, Finance, or related discipline
  • Professional AML certification an advantage (e.g., ACAMS)
  • At least 1-2 years of proven legal, compliance, or financial experience in a regulatory authority or government agency, a law firm, and/or a financial institution
  • Knowledge of Hong Kong and international regulations of securities, derivatives, and commodities markets; regulatory technology to assist in regulatory compliance and solutions
  • Experience in regulatory, inspections, and/or policy development gained from working for an investment bank, a financial institution, a regulatory authority, a government or government agency, or a law firm
  • Strong analytical, drafting, research, communication, and presentation skills with attention to detail
  • A strong team player, but also able to work independently and take on new challenges
  • Flexibility and openness to continue learning, evolving, and growing
  • Strong command of written and spoken English and Chinese; proficiency in Putonghua is an advantage

Location: HKEX - Exchange Square

Shift: Standard - 40 Hours (Hong Kong SAR)

Scheduled Weekly Hours: 40

Worker Type: Permanent

Estimated Salary Range: HKD 800,000 - HKD 1,200,000 per annum, depending on qualifications and experience.

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