Senior Vice President - Regulatory Engagement & Advisory

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:

Lead the Regulatory Engagement & Advisory Team within Group Compliance, providing enterprise-wide regulatory advice, guidance and interpretation to support business activities, products, strategic initiatives and transformation programs across the Group.

The role serves as a trusted advisor to business and functional teams, helping stakeholders understand applicable regulatory requirements, supervisory expectations and emerging regulatory developments. Working closely with businesses including Markets, Operations, Legal and Risk teams, the role translates regulatory requirements into practical and actionable guidance that supports informed decision-making and effective risk management.

The role also supports the Group's interactions with regulators by providing advice and coordination on significant regulatory matters and engagements. While maintaining strong working relationships with regulators and internal stakeholders, the role is expected to be equally effective advising working-level teams and engaging senior management on significant regulatory matters.

The role reports to the Head of Group Compliance and is a member of the Compliance Leadership Team.

Job Duties:

• Regulatory Advisory and Oversight
  • Lead the provision of enterprise-wide regulatory advice and guidance to business and functional teams across the Group including Markets, Operation and Risk teams.
  • Provide clear, practical and consistent interpretation of regulatory requirements, supervisory expectations and regulatory developments. Translate regulatory requirements into actionable guidance, controls and implementation considerations for business and functional stakeholders.
  • Develop relationships with HKEX’s regulators across jurisdictions to effectively communicate regulatory concerns and manage communications around business change.
  • Support business teams in identifying and assessing regulatory implications arising from new products, business initiatives, operational changes and strategic projects.
  • Promote consistency in the interpretation and application of regulatory requirements across the Group.
• Regulatory Engagement Oversight:
  • Support and advise business and functional teams in their interactions with regulatory authorities.
  • Maintain awareness of significant regulatory engagements and developments across the Group.
  • Provide guidance on regulatory expectations, regulatory communications and engagement approaches.
  • Coordinate compliance input into responses to significant regulatory enquiries, thematic reviews and external assessments where required.
  • Support the Head of Group Compliance in managing significant regulatory matters and stakeholder engagement.
  • Design and deliver compliance and regulatory training programs to enhance awareness, understanding and ownership of regulatory obligations across the Group.
  • As a member of the Compliance Leadership Team, contribute to the development of the Group’s compliance strategy, governance framework and operating model, providing leadership on regulatory advisory, regulatory engagement and regulatory interpretation matters.
  • Promote a collaborative, solutions-oriented and business-focused culture within the team. Foster strong working relationships across businesses, legal, risk and compliance teams.

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