Job Summary:

The Regulatory Policy & Markets team under Group Compliance manages an internal end-to-end service to HKEX and its subsidiaries to facilitate business and market initiatives, and interactions with regulators and Government agencies. It advises HKEX on compliance with relevant laws, rules and regulations across the regulatory landscape including HKEX’s overseas representative offices on regulatory matters.

Job Duties:

Responsibilities:

• Provide compliance and regulatory support to facilitate business matters, products, projects and initiatives
• 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 and impact of global regulatory requirements
• Provide compliance support on HKEX’s anti-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 and prepare divisions and functional areas for reviews or international assessments e.g. FATF, IMF, FSAP etc
• 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
• 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 1-2 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.