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 Employee & Financial Crime Compliance & Listing under Group Compliance manages and owns Compliance policies, including review policies, conduct training, implement controls and procedures, to ensure the business complies with the spirit of relevant rules and regulations. It also partners with Listing to provide advice on divisional specific controls, and interactions with regulators and Government agencies. Through the implementation of Compliance policies, it helps HKEX employees to uphold the HKEX Values (Integrity, Diversity, Excellence, Collaboration and Engagement) and public interest obligation.

Job Duties:

Responsibilities:

• Assess HKEX’s compliance with relevant laws and regulations, as well as internal policies and procedures to ensure compliance with relevant regulatory obligations and legislation including capturing and assessing regulatory change from Financial Crime perspective.
• Provide compliance support on HKEX’s financial crime framework including conducting due diligence, screening using electronic databases, research and preparing reports and documentation for review
• Assist in drafting and review of internal compliance policies, procedures and guidelines
• Coordinate across divisions and functional areas for controls reviews or international benchmarking
• Communicate and work closely with internal teams and HKEX’s regulators across jurisdictions
• Involved in developing internal training including drafting of training materials and presentations
• Provide compliance and regulatory support to facilitate business matters, products, projects and initiatives
• Support ad-hoc projects including those related to regulatory technology, to apply and embed in Group Compliance processes to manage compliance workflows
  
  

Requirements:

• Bachelor degree or equivalent in Law, Accounting, Finance or related discipline
• Professional AML certification an advantage e.g. ACAMS
• At least 3-4 years of proven legal, compliance or financial experience in a regulatory authority or Government agency, a law firm, and/or a financial institution
• Knowledge of Hong Kong and international regulations of securities, derivatives and commodities market; regulatory technology to assist in regulatory compliance and solutions
• Experience in regulatory, inspections and/or policy development gained from working for an investment bank, a financial institution, a regulatory authority, a Government or Government agency or a law firm
• Strong analytical, drafting, research, communication and presentation skills with attention to detail
• A strong team player, but also able to work independently and take on new challenges
• Flexibility and openness to continue learning, evolving and growing
• Strong command of written and spoken English and Chinese. Proficiency in Putonghua 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

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