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, and explore opportunities to automate daily workflows or system enhancements
• 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

Requirements:  

• University degree, preferably in Business Administration, Finance, Law or related disciplines  
• At least 7 years’ relevant experience of which at least 2 years at a management/supervisory level, 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)
• Project management experience (planning/testing/implementation) is an advantage
• 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
• Candidate with less experience will be considered as Associate.

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