Vice President - Regulatory Advisory & Market Compliance

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:

Support the delivery of enterprise-wide regulatory advisory services across the Group by providing practical interpretation of regulatory requirements, supervisory expectations and regulatory developments.

The role works closely with business, risk, legal and compliance stakeholders to help identify, assess and address regulatory implications arising from business activities, products, initiatives and change programs. The role acts as a trusted advisor to business and functional teams, translating complex regulatory requirements into clear, practical and actionable guidance.

The role also supports significant regulatory engagements and assists in providing regulatory insights and recommendations to management. Reporting to the Head of Regulatory Engagement & Advisory, the role contributes to the consistent interpretation and application of regulatory requirements across the Group.

The role reports to the Team Lead of the Group Compliance Regulatory Advisory & Engagement Team.

Job Duties:

Regulatory Advisory and Support

• Provide timely, practical and risk-based regulatory advice to business and functional stakeholders on regulatory requirements, supervisory expectations, products, initiatives and business activities.
• Support the interpretation and application of regulatory requirements across the Group, ensuring advice is consistent, clear and aligned with regulatory expectations.
• Assist in translating regulatory requirements into practical guidance, procedures, frameworks and control expectations for business and support functions.
• Monitor emerging regulatory developments and assess their potential implications for the Group, escalating significant matters as appropriate.
• Support regulatory impact assessments relating to new products, business initiatives, strategic projects and regulatory change initiatives.

 

Regulatory Engagement and Coordination

• Support the coordination of regulatory interactions, submissions, enquiries, inspections, thematic reviews and supervisory engagements.
• Provide guidance to business and compliance teams on regulatory communications, engagement approaches and responses to regulatory requests.
• Contribute to the preparation, review and coordination of responses to regulatory enquiries and information requests.
• Assist in maintaining visibility of significant regulatory matters, commitments and actions arising from regulatory engagements.
• Promote consistency of regulatory messaging and communications across stakeholders and business functions.
• Contribute to the development and continuous enhancement of the Group's regulatory engagement framework to support proactive, effective and coordinated engagement with regulators.

 

 

Governance and Stakeholder Management

• Build and maintain effective working relationships with business, legal, risk and compliance stakeholders to support consistent management of regulatory risks.
• Escalate significant regulatory issues, emerging risks and supervisory concerns to the Lead of Regulatory Advisory & Engagement Team.
• Support governance reporting, management updates and regulatory-related presentations for relevant committees and forums.
• Contribute to the continuous enhancement of regulatory advisory frameworks, engagement processes and governance arrangements.

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