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 and associated controls, including Anti-Bribery & Anti-Corruption, Conflicts of Interest, Personal Account Dealing, Whistleblowing.
- Work with HR / Employee Relations on the escalation, management and disposition of Employee related issues, and report to relevant management / board committee as appropriate.
- Work with HKEX leadership and relevant teams to define and implement the company-wide Conduct Program.
- Provide Compliance training and advice in relation to Group's policies and conduct.
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.
Regulatory Reporting - Develop and implement the Group's regulatory reporting framework.
- Maintain the Group's regulatory reporting inventory list by working with relevant reporting teams.
- Provide advice to reporting teams, and where appropriate, support continuous optimization and streamlining of regulatory reporting by engagement and collaboration with the regulator(s).
Compliance Projects and Governance - Lead compliance projects, including and not limited to, new / refreshed compliance policies implementation company-wide, Group Compliance Division's processes enhancement, automation and digitization.
- Manage Group Compliance Division's operations and report to HKEX Management Committee.
- Collaborate with Law Enforcement Agency and, where appropriate, report to relevant management / board committee.
Job Requirements - An advanced degree or professional qualification in Law, Accounting, Finance or related discipline. Legal qualification an advantage.
- In-depth knowledge and hands-on experiences of compliance (and risk management) frameworks, policies, processes and controls.
- A minimum of 15 years of proven experience in regulatory compliance gained from working for 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