Senior VP, Global Compliance Policy & Standards

Hong Kong Exchanges & Clearing Ltd; Hong Kong; On-site; HKD 1,500,000 - 2,300,000; Full time

Job summary

Hong Kong Exchanges & Clearing Ltd. seeks an experienced Senior Vice President - Central Compliance to lead the Compliance Policy and Standards Team within Group Compliance.

You will set the Group-wide framework across market integrity, conduct, conflicts and financial crime compliance, guiding business units and training staff. Reporting to the Head of Group Compliance, you will drive policy governance, risk-based controls and regulator engagement, while developing leadership and ensuring

Qualifications

• Minimum 15 years of relevant experience across compliance, risk, policy and standards, conduct, conflicts management and/or financial crime.
• Demonstrated expertise in developing, implementing and overseeing enterprise-wide compliance and policy frameworks.
• Strong leadership and people management experience in complex organizations.

Responsibilities

• Lead the development, review, maintenance and implementation of Group-wide compliance policies, standards and guidance.
• Provide oversight on policy exceptions, breaches, remediation and other material compliance matters.
• Promote effective compliance awareness through targeted communications, guidance, and training.
• Oversee Personal Account Dealing, conflicts of interest, information barriers, and Code of Conduct matters.
• Lead engagement with regulators and handling of relevant cases.
• Build relationships across business units and governance forums to support risk-based decision making.

Education

Advanced degree in Law, Accounting, Finance

Job description

Hong Kong Exchanges & Clearing Ltd. seeks an experienced Senior Vice President - Central Compliance to lead the Compliance Policy and Standards Team within Group Compliance.

You will set the Group-wide framework across market integrity, conduct, conflicts and financial crime compliance, guiding business units and training staff. Reporting to the Head of Group Compliance, you will drive policy governance, risk-based controls and regulator engagement, while developing leadership and ensuring