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Hong Kong Exchanges and Clearing Limited (HKEX) · 2 months ago

Associate - Market Surveillance & Monitoring (Enforcement) - Operations (Audit/ Inspection/ Enforcement/ Compliance)

HK-ONE ES 21/F

Full-time

Onsite

Mid Level

3+ years exp

Hong Kong Exchanges and Clearing Limited (HKEX) is home to Asia's most dynamic and vibrant capital markets. The Market Surveillance & Monitoring Department is responsible for maintaining the integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants.

FinanceFinancial ServicesStock Exchanges

Responsibilities

Support team’s efforts in enforcement of HKEX rules and regulations on Exchange and Clearing Participants through conducting HKEX’s Annual Attestation and Inspection Programme and thematic reviews

Assist in organizing market education and communication events, including seminars and roundtables with industry associations, and publication of compliance bulletin

Prepare presentation materials and produce data analytics for routine or ad-hoc reporting to management and regulators

Perform UAT testing and contribute to implementation of rule enforcement systems

Work in collaboration with other team members to develop, maintain and review internal policies and procedures

Provide full support to team lead in communication and liaison with local and overseas regulators, market participants and relevant internal stakeholders

Undertake any ad-hoc assignments as required

Qualification

HKEX rules knowledgeData analytics proficiencyProject management experienceAudit experienceCompliance experienceWrittenPutonghuaMicrosoft Power suiteTableau experienceSpoken EnglishSpoken ChineseInterpersonal skillsPresentation skillsProblem solving skillsSelf-starterAttention to detail

Required

University degree, preferably in Business Administration, Finance, Law or related disciplines

At least 3 years' relevant experience, preferably in audit, inspection, enforcement, compliance or advisory roles with regulators or in well-established financial institutions

Good knowledge of HKEX rules and regulations as well as SFO, SFC codes and guidelines. Enforcement experience is an advantage

Proven ability to multi task and able to adjust effectively to changing priorities

Self-starter, able to work independently, highly motivated with a strong delivery focus

Meticulous attention to details, strong analytical and problem solving skills

Strong interpersonal and presentation skills (verbal and written)

Strong command of written and spoken English and Chinese (Cantonese). Proficiency in Putonghua is preferred

Proficiency in data analytics and visualization tools to drive insights and facilitate management reporting. Hands-on experience in Microsoft Power suite and Tableau is an advantage