Associate – Listing (Listing Enforcement)
Hong Kong Exchanges and Clearing Limited
- Company Industries:Financial Services
Job Information
- Post Date:2018-07-13
- Career Level:Middle
- Location:Not Specified
- Salary:Salary provided
- Employment Type:Full Time
- Job Function:Accountant Financial Services Legal & Compliance
Job Description
HKEX'sListing Department conducts the day-to-day administration of the Listing Rulesas part of The Stock Exchange of Hong Kong's role as the front-line regulatorof listed companies in Hong Kong. TheListing Enforcement Team of the Listing Department is responsible forinvestigating possible breaches of the Listing Rules, initiating and conductingdisciplinary proceedings before the Listing (Disciplinary) Committee, issuingcaution and warning letters as well as handling complaints alleging breaches ofthe Listing Rules. The successfulcandidate is expected to:
Job responsibilities:
- Provide support to the team in relation to the investigation of cases including reviewing materials and submissions received, research in relation to any issues or legal points arising
- Drafting of documents and correspondence including simple reports and submissions under supervision
- Provide administrative support for the operational aspects of the team such as maintenance and update of the record keeping systems and databases, logs and other matters to assist in the functioning and reporting requirements of the team
- Provide legal and other professional support to the work of the Listing Department
- Provide assistance in policy related or other projects undertaken by the team as required
Job requirements:
- Qualified lawyer with a minimum of 3 years working experience or university graduates of other disciplines with at least 3 years working experience in law, accounting, corporate finance, investment banking or a related field will also be considered
- Working knowledge of the Listing Rules and knowledge of the securities industry and its practices including securities laws and accounting practices is an advantage
- Strong interpersonal and presentation skills and working knowledge of investigative techniques and procedures
- Good command of written and spoken English and Chinese. Proficiency in Putonghua is an advantage
Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful. Personal data provided will only be used for the purpose of employment application to HKEX.
Company Info
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