Senior Market Surveillance & Compliance Lead

Hong Kong Exchanges and Clearing Limited; Hong Kong; Sur place; HKD 900 000 - 1 350 000; Plein temps

Résumé du poste

Hong Kong Exchanges and Clearing Limited is seeking an experienced professional for the Market Surveillance & Monitoring Department. The role focuses on maintaining market integrity through real-time monitoring and ensuring compliance for HKEX participants.

Responsibilities include attestation and inspections, market-education events, data analytics for reporting, UAT testing, and policy/enhancement work, with strong collaboration with regulators and internal teams.

Qualifications

• University degree in Business Administration, Finance, Law or related disciplines.
• At least 7 years’ relevant experience in audit, inspection, enforcement, compliance or advisory roles with regulators or in well-established financial institutions.
• Good knowledge of HKEX rules and regulations as well as SFO, SFC codes and guidelines. Enforcement experience is an advantage.

Responsabilités

• Support team’s efforts in enforcement of HKEX rules and regulations on Exchange and Clearing Participants through conducting HKEX’s Annual Attestation and Inspection Programme and thematic reviews.
• Assist in organising market education and communication events, including seminars and roundtables with industry associations, and publication of compliance bulletin.
• Prepare presentation materials and produce data analytics for routine or ad-hoc reporting to management and regulators.
• Perform UAT testing and contribute to implementation of rule enforcement systems.
• Work in collaboration with other team members to develop, maintain and review internal policies and procedures, and explore opportunities to automate daily workflows or system enhancements.
• Provide full support to team lead in communication and liaison with local and overseas regulators, market participants and relevant internal stakeholders.
• Undertake any ad-hoc assignments as required.

Connaissances

Interpersonal skills

Presentation skills

Analytical thinking

Project management

Data analytics

Tableau

Power BI

Formation

University degree in Business Administration, Finance, Law or related disciplines

Outils

Power BI

Tableau

Description du poste

Hong Kong Exchanges and Clearing Limited is seeking an experienced professional for the Market Surveillance & Monitoring Department. The role focuses on maintaining market integrity through real-time monitoring and ensuring compliance for HKEX participants.

Responsibilities include attestation and inspections, market-education events, data analytics for reporting, UAT testing, and policy/enhancement work, with strong collaboration with regulators and internal teams.