Senior Vice President - Central Compliance

Hong Kong Exchanges and Clearing Limited; Hong Kong; On-site; HKD 1,800,000 - 3,000,000; Full time

Job summary

Hong Kong Exchanges and Clearing Limited is seeking a senior leader to head the Compliance Policy and Standards Team within Group Compliance, setting the Group-wide framework across market integrity, conduct, conflicts and financial crime. You will guide policy development, drive risk-based controls, and partner with Legal, Risk, HR and control functions to embed compliance across the Group.

The role requires extensive experience of at least 15 years in compliance, policy and governance, with

Qualifications

• Advanced degree in Law, Accounting, Finance or related discipline.
• Professional qualifications in legal, compliance, audit, accounting or financial crime advantageous.
• Strong knowledge of Hong Kong regulatory framework for securities, derivatives and market infrastructure.
• Experience implementing enterprise-wide compliance and policy frameworks.
• Excellent stakeholder management and leadership capabilities.

Responsibilities

• Lead the development, review, maintenance and implementation of Group-wide compliance policies, standards and guidance.
• Oversee policy exceptions, breaches, remediation and training across the group.
• Coordinate engagement with regulators and handle relevant compliance matters.
• Lead and develop the team, with clear accountability and high-quality delivery.

Skills

Leadership

Policy governance

Regulatory interpretation

Stakeholder management

Communication

Risk-based approach

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 behavioural 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

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 behavioural 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.

Stakeholder Management, Advisory, Communication & Leadership

Exceptional stakeholder management, advisory and influencing skills, with the ability to engage, challenge and build consensus among senior management, business leaders, boards, committees, regulators and other key stakeholders on complex and sensitive matters. Excellent written and verbal communication skills, with the ability to articulate complex regulatory and compliance requirements clearly, provide pragmatic and risk-based advice, and communicate effectively with diverse audiences across the organization. Proven leadership capability, including building and developing high-performing teams, effective resource management, fostering a collaborative and accountable culture, and delivering strategic initiatives and outcomes across a complex organization. Strong collaboration, relationship management and interpersonal skills, with a demonstrated ability to build trusted partnerships, influence without direct authority, navigate competing priorities, and deliver high-quality results in a fast-paced environment under pressure and tight deadlines.

Location

HKEX - Exchange Square Shift: Standard - 40 Hours (Hong Kong SAR) Scheduled Weekly Hours: 40 Worker Type: Permanent

HKEX is a publicly-traded company (HKEX Stock Code:388) and one of the world’s leading global exchange groups, offering a range of equity, derivative, commodity, fixed income and other financial markets, products and services, including the London Metals Exchange. As a superconnector and gateway between East and West, HKEX facilitates the two-way flow of capital, ideas and dialogue between China and the rest of world, through its pioneering Connect schemes, increasingly diversified product ecosystem and its deep, liquid and international markets. HKEX is a purpose-led organisation which, across its business and through the work of HKEX Foundation, seeks to connect, promote and progress its markets and the communities it supports for the prosperity of all.

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.