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Vice President - Group Compliance - Employee Compliance

Hong Kong Exchanges and Clearing Limited Hong Kong
Posted 15 days ago Permanent Competitive
Location:
HKEX - Exchange Square

Shift:
Standard - 40 Hours (Hong Kong SAR)

Scheduled Weekly Hours:
40

Worker Type:
Permanent

Job Summary:

Job Duties:
The Group Compliance Employee Compliance Team seeks to ensure that HKEX Group has adequate procedures and controls to comply with its obligations under legislation and memoranda of understanding with relevant regulators. The team manages the second line-of-defence independent challenge function for regulatory risks as they relate to employee compliance and conduct obligations including personal account dealings, information barriers, anti-bribery and corruption, and whistle-blowing.

Job Responsibilities:
• Reporting to the Senior Vice President, the successful candidate's responsibilities will include the following:
Employee Compliance
• Manage the framework for and the monitoring of the relevant HKEX staff compliance programs,including those relating to personal account dealings, anti-bribery and corruption and conflicts of interest
• Drive the selection and implementation of the tooling required to support these programs
• Assist in developing, drafting and reviewing internal compliance policies, procedures and guidelines
• Manage the preparation and submission of briefings/reports to HKEX management bodies
• Provide advice on staff compliance and conduct matters including applicable policy requirements
• Carry out ad-hoc assignments as required Control Room
• Assist in control room process as it relates to the HKEX Group including wall crossing and information barriers
• Facilitate matters requiring investigation and review, including escalation triggered by Group Policies and protocols
• Monitor changes to business practice and products, resolve issues including the specification of processes, procedures and system enhancements from a regulatory compliance perspective to ensure adequate controls

Requirements:
• University Degree in Law, Accounting or Finance or related disciplines
• At least 10 years of proven compliance,audit, enforcement and/or legal experience in regulatory authority or Government agency, a law firm and/or a well-known financial institution, of which at least 5 years at management level
• In-depth knowledge of Hong Kong regulations of securities, derivatives and commodities market
• Reliable, with a strong sense of responsibility and impeccable integrity
• Strong communication, interpersonal and presentation skills, and attentive to details
• Solid drafting, research and analytical skills
• Strong command of written and spoken English and Chinese (Cantonese and Putonghua)

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.

Company Introduction:

Hong Kong Exchanges and Clearing Limited (HKEX) is one of the world's major exchange groups, and operates a range of equity, commodity, fixed income and currency markets. HKEX is the world's leading IPO market and as Hong Kong's only securities and derivatives exchange and sole operator of its clearing houses, it is uniquely placed to offer regional and international investors access to Asia's most vibrant markets.

As the global markets leader in the Asian time-zone, we offer a world of opportunities for early careers and experienced hires. Here, we know that diverse thinking fosters better solutions, and we are committed to building an open and dynamic environment which allows our business to innovate and our people to thrive.

Discover the latest career opportunities and programmes at HKEX.

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.
Job ID  IRC24201
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