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: Group Compliance seeks to ensure that HKEX Group has adequate procedures and controls to comply with relevant laws and regulations across the regulatory landscape and to support HKEX's sustainable growth.
This role will report into the Group Chief Compliance Officer and will be a member of the Compliance management team.
Job Duties: Job Responsibilities Employee Compliance - Develop and implement the Group's Employee Compliance program, including Conflicts of Interest, Personal Account Dealing, Anti-Bribery & Anti-Corruption, Whistleblowing.
- Work with HR / Employee Relations on the escalation, management and disposition of Employee related issues
- Work with the business and HKEX leadership to define and implement the firm-wide Conduct Program
- Provide Compliance training in relation to Group's policies and conduct.
- Provide advice and support on the Group's needs on related policies, laws and regulations
Financial Crime Compliance - Develop and implement the Group's financial crime prevention program and conduct institutional risk assessment
- Provide advice and work with the business on financial crime related matters
- Implement controls to mitigate and manage compliance risk arising from financial crime and sanctions
Listing - Information Barrier & Conflicts Management - Develop and implement the Group's regulatory framework and associated controls regarding wall crossing and information barrier
- Develop and implement controls and provide advice to relevant business to identify and manage conflicts on entity level and individual level as they arise though the normal course of business
- Provide advice to Listing on compliance and control matters as second line of defense
- Advise on and escalate control matters through relevant Governance Committees
Job Requirements - An advanced degree or professional qualification in Law, Accounting or related discipline. Legal qualification an advantage.
- In-depth knowledge of Investment Banking and Corporate Finance workflows, information barrier and wall crossing processes
- A minimum of 15 years of proven experience in regulatory compliance gained from working for an investment bank, a financial institution, a regulatory authority, a Government agency or a law firm, of which at least 10 years at a management level
- Excellent oral, written communication and presentation skills, inter-personal skills and excellent relationship building skills; ability to work with stakeholders at different levels
- Strong analytical skills and ability to make sound judgements
- Fluent in English and Chinese. Proficiency in Putonghua 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