Senior Vice President - Central Compliance

hkex; Hong Kong; On-site; HKD 2,000,000 - 3,200,000; Full time

Job summary

HKEX seeks a senior leader to head the Compliance Policy and Standards Governance within Group Compliance. You will set and maintain the Group-wide compliance framework, translating regulatory requirements into practical policies and controls for business and functional stakeholders.

You will provide guidance on sensitive cases, oversee areas such as personal account dealing, conflicts of interest, information barriers and anti-money laundering, and collaborate with Legal, Risk and HR to

Qualifications

• Advanced degree in law, accounting, finance or related discipline.
• 15+ years in compliance, risk, audit, policy or financial crime.
• Experience in leading policy governance across a financial institution or market regulator.

Responsibilities

• Lead development and maintenance of Group-wide compliance policies and guidance.
• Provide oversight on policy exceptions, breaches and remediation.
• Promote compliance awareness through communications and training.
• Oversee Personal Account Dealing, Conflicts of Interest and information barriers.
• Lead engagement with regulators and handle relevant cases.
• Build and manage the compliance team with clear accountability.

Skills

Policy governance

Leadership

Stakeholder management

Regulatory knowledge

Financial crime awareness

Education

Advanced degree in Law, Accounting, Finance

Job description

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 Compliance Policy and Standards Team within Group Compliance, setting and maintaining the Group-wide compliance framework, policies and standards across market integrity, conduct, conflicts and financial crime compliance.

The role provides clear, practical, and consistent guidance to business and functional teams, and oversees the effective application of compliance requirements across the Group. The remit includes Personal Account Dealing, Conflicts of Interest, information barriers and wall-crossing, Code of Conduct and behavioral risk, Anti-Bribery and Corruption, anti-money laundering and broader financial crime matters.

Working closely with business, Legal, Risk, Human Resources and other control functions, the role promotes a proportionate and risk-based approach, supports the resolution of sensitive compliance matters, and strengthens awareness and ownership of compliance obligations.

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

Job Duties:

Job Responsibilities

Compliance Policy and Standards Governance

• Lead the development, review, maintenance and implementation of Group-wide compliance policies, standards and guidance, ensuring regulatory requirements and emerging compliance risks are translated into practical, risk-based policies, controls and implementation guidance for business and functional stakeholders.
• Provide oversight and challenges on policy exceptions, breaches, remediation and other material compliance matters within the team's remit.
• Promote effective compliance awareness through targeted communications, guidance, and training.

Market Integrity, Conduct and Conflicts Compliance

• Oversee Personal Account Dealing matters, including policy requirements, advisory, and case handling.
• Provide advice and support the resolution of actual, potential or perceived Conflicts of Interest.
• Oversee information barrier advisory, including wall-crossing requests and related controls.
• Provide oversight of Code of Conduct matters and behavioral risk, including advice on sensitive cases and appropriate escalation.
• Oversee advisory, approval and breach handling relating to Anti-Bribery and Corruption requirements.
• Oversee advice and approvals relating to financial crime and anti-money laundering risks.
• Lead or coordinate engagement with the regulators and the handling of relevant cases.

Leadership and Stakeholder Management

• Contribute to the Group's compliance strategy, governance framework and operating model, and support Group Compliance on significant policy, conduct, conflicts and financial crime matters, including engagement with senior management and relevant governance forums.
• Build trusted relationships across business and functional teams, providing constructive challenge and practical, solutions-oriented advice.
• Lead, develop and manage the team, ensuring clear accountability, strong subject-matter expertise, effective resource deployment and high-quality delivery.

Job Requirements:

Education & Professional Qualification

Advanced degree in Law, Accounting, Finance or a related discipline . Relevant professional qualifications in legal, compliance, audit, accounting or financial crime are advantageous.

Compliance & Market Expertise

Strong knowledge of Hong Kong's regulatory framework for securities, derivatives and market infrastructure, together with awareness of relevant international developments.

Deep expertise in compliance policy and governance , conduct, conflicts of interest, information barriers, financial crime, anti-bribery and corruption, and anti-money laundering.

Demonstrated ability to interpret regulatory expectations and convert them into clear, proportionate and implementable policies, standards and controls.

Experience

Minimum 15 years of relevant experience across compliance, legal, risk, audit, policy and standards, conduct, conflicts management and/or financial crime, gained within an exchange, clearing house, financial institution, regulatory authority and/or professional services environment.

Demonstrated expertise in developing, implementing and overseeing enterprise-wide compliance and policy frameworks, including advising on complex and sensitive regulatory, conduct and governance matters, and translating regulatory requirements into practical business solutions.

Proven leadership and people management experience, with a strong track record of building and developing high