Assistant Vice President

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:

AVP in Central Compliance to cover employee compliance, FCC, Compliance projects, governance and regulatory engagement

Job Duties:

Responsibilities:
 

Employee Compliance

• Support implementation of the Group’s Employee Compliance program and associated controls, including
• Anti-Bribery & Anti-Corruption, Conflicts of Interest, and Whistleblowing.
• Work with HR / Employment Law Legal on the escalation and management of policies breaches.
• Provide Compliance training and advice in relation to Group Compliance’s policies.

Financial Crime Compliance

• Support the enhancement and implementation of the Group’s financial crime prevention program,
• including risk assessment, policies, control framework, and training.
• Provide advice to business on financial crime related matters.
• Compliance Projects
• Lead group-wide projects, compliance projects, including and not limited to, new / refreshed compliance
• policies implementation, Group Compliance Division’s processes enhancement, automation and digitization.

Governance and Regulatory Engagement

• Assist the enhancement and implementation of Compliance Risk Appetite metrics, and key indicators.
• Assist compliance reporting to management / board committees.
• Liaison with regulatory bodies, manage relationships with agencies, and manage information requests.

Requirements:
 

• Bachelor degree or equivalent in Law, Accounting, Finance or related discipline.
• Knowledge and hands-on experiences of compliance frameworks, policies, processes and controls.
• A minimum of 10 years of proven experience in regulatory compliance gained from working for a financial
• institution, a regulatory authority, a Government agency or a law firm, of which at least 10 years at a
• management level
• Excellent oral, written communication and presentation skills
• Strong analytical skills and inter-personal skills; ability to work with stakeholders at different levels
• A collaborative team player with the ability to work independently and embrace new challenges.
• Demonstrates flexibility and a growth mindset, with a commitment to continuous learning and development.
• Fluent in English and Chinese.

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