AVP, Listing Regulation & Enforcement — Compliance & Oversight Lead

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

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.