AVP - Listing Regulation and Enforcement

Hong Kong Exchanges and Clearing Limited (HKEX); Hongkong; On-site; HKD 800,000 - 1,200,000; Full time

Job summary

A leading financial services firm in Hong Kong is seeking an experienced AVP - Listing Regulation and Enforcement. This role involves leading a small team to monitor compliance with Listing Rules and support issuers in their obligations. Candidates should have at least 8 years of experience in law, accounting, or corporate finance, with strong interpersonal skills and fluency in English and Chinese. The position offers a permanent full-time contract with opportunities for professional development.

Qualifications

• At least 8 years working experience in law, accounting, corporate finance, or investment banking.
• Advanced knowledge of Listing Rules and securities industry practices.
• Good command of written and spoken English and Chinese; proficiency in Putonghua is essential.

Responsibilities

• Manage a sub-team of 1 to 2 people responsible for compliance monitoring.
• Carry out proactive monitoring of listed issuers' compliance.
• Lead training and development of junior team members.
• Provide professional support regarding accounting and legal issues.

Skills

Interpersonal skills

Presentation skills

Investigation techniques

Education

Qualified lawyers/accountants or university graduates in relevant disciplines

Job description

AVP - Listing Regulation and Enforcement

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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."

Responsibilities

• To lead and manage a sub-team of 1 to 2 people (within a team of 7 people) responsible for a portfolio of 80–120 listed issuers and monitoring their Listing Rules compliance, including administrating and providing guidance on interpretation of the Listing Rules, handling listing and waiver applications and reviewing the issuers’ communications for compliance with Listing Rules requirements
• To carry out pro‑active monitoring of listed issuers and their compliance with their continuing listing obligations, identify complex issues and emerging market trends and resolve these issues
• To take an active role in the development of the department by encouraging and following through on operational improvement initiatives
• To take lead in training and monitoring the progress of new/junior team members, and also assist the team leader to identify the training needs of team members and assist their developments
• To lead or take an active role in department work and projects covering areas requiring skills in project management, data analytics, information technology, newsletter/seminars as required
• To provide accounting, legal and other professional support to the work of the department, particularly with respect to the review of novel and complex accounting, legal, business and financial issues

Requirements

• Qualified lawyers/accountants or university graduates of other relevant disciplines with at least 8 years working experience in law, accounting, corporate finance, investment banking or a related field, of which at least 2 years at management/supervisory level. Candidates with more experience will be considered for roles with more responsibility
• Experience that demonstrates advanced knowledge of the Listing Rules and the securities industry and its practices including securities laws and accounting practices
• Strong interpersonal and presentation skills and knowledge of investigative techniques and procedures
• Good command of written and spoken English and Chinese. Proficiency in Putonghua is essential

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

Seniority Level

• Executive

Employment Type

• Full‑time

Job Function

• Other, Information Technology, and Management

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