Company Introduction:
We're home to Asia's most dynamic and vibrant capital markets.
Connecting capital, ideas, inspiration and innovation for deeper, more diverse and liquid global capital markets; providing greater choice and opportunity for our customers, each and every day.
HKEX is a purpose-driven company. Our commitment to the long-term development of our business and our markets is articulated in our purpose: "To Connect, Promote and Progress our Markets and the Communities they support for the prosperity of all."
Job Summary:
The Market Surveillance & Monitoring Department is primarily responsible for maintaining the integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants. It also cooperates with Hong Kong and Mainland regulators on their investigation of cross-boundary market misconduct under the China Stock Connect markets.
The incumbent will work proactively and collaboratively with regulators and other external stakeholders to promote effective market regulations for a fair, orderly and reputable market.
Job Duties:
Job Responsibilities:
• Lead and conduct investigations into suspected breaches of HKEX rules and requirements in relation to market misconduct by market participants
• Lead and manage a fair and effective disciplinary process against market participants identified with serious breaches of HKEX rules and regulations
• Drive initiatives to enhance data analytics and quantitative capabilities of the HKEX rule enforcement function, including the use of FinTech skills to identify potential rule violation activities
• Review qualitative and quantitative analysis to identify trends, give insights and present observations and findings to senior management
• Lead and manage enforcement-related projects and represent the department in strategic projects initiated by other HKEX divisions
• Closely follow the latest regulatory development, assess and recommend as appropriate
• Provide full support to Department Head in communication and liaison with local and overseas regulators, market participants and relevant internal stakeholders
• Undertake any ad-hoc assignments as required
Job Requirements:
• University degree in Law, Finance or a related field.
• At least 15 years' relevant experience in securities law enforcement, regulatory compliance or a related field in well-established financial institutions, of which at least 7 years at a management/supervisory level
• In-depth knowledge of HKEX rules and regulations, SFO and SFC guidelines as well as enforcement practices
• Excellent leadership and be able to work effectively and productively in team environment
• Solid knowledge of the securities and derivatives markets. Exposure to a variety of derivatives products and the China Stock Connect markets is an advantage
• Proven ability to multitask and able to adjust effectively to changing priorities
• Impeccable communication and interpersonal skills
• Excellent command of written and spoken English and Chinese (Cantonese); proficiency in Putonghua is an advantage
• Advanced analytical skills on handling large data set and report writing skills focused on delivering insights, with strong attention to details
• Surveillance experience (trade/control room) is an advantage
• Project management experience (planning/testing/implementation) is an advantage
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.
Location:
HKEX - Exchange Square
Shift:
Standard - 40 Hours (Hong Kong SAR)
Scheduled Weekly Hours:
40
Worker Type:
Permanent
22672824