Vice President / Assistant Vice President - Compliance Risk Oversight & Regulatory Coordination

Hong Kong Exchanges and Clearing Limited; Hong Kong; On-site; HKD 700,000 - 1,000,000; Full time

Job summary

Hong Kong Exchanges and Clearing Limited (HKEX) is seeking a Compliance Risk Oversight & Regulatory Coordination professional under Group Compliance. The role manages the compliance risk oversight program, supports regulatory reviews, and strengthens governance over policies and controls.

You will partner with divisions, assist in reviews by regulators such as the SFC, and contribute to training and digital initiatives to enhance oversight. Location: Hong Kong SAR; permanent, 40-hour week.

Responsibilities

• Develop and implement risk-based reviews over compliance with policies and regulations, including understanding requirements and executing review steps on a timely basis.
• Maintain and execute the Compliance Issue Management program, overseeing issues owned by Group Compliance and ensuring weaknesses are addressed with effective action plans.
• Provide compliance advice and support to divisions, ensuring alignment with laws, regulations, and internal policies; facilitate business matters, products, projects, and initiatives to strengthen controls.

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

Compliance Risk Oversight & Regulatory Co-ordination, under Group Compliance, is responsible for running the compliance risk oversight program to manage regulatory reviews, conduct risk-based reviews over compliance with Compliance Policies and other internal policies as requested, facilitate regulatory commitments tracking and support projects related to Compliance operations, tools and controls enhancements. The team provides compliance support to various divisions and functional areas. In addition, it partners with Internal Audit to offer insights that enhance alignment and strengthen the effectiveness of controls across divisions and functions. Through the implementation of compliance risk oversight program, the team supports GCRO from managing the Compliance & Conduct Risk, upholding the HKEX Values - Integrity, Diversity, Excellence, Collaboration, and Engagement, and fulfilling their public interest obligations.

Job Duties

• Develop and implement the risk-based reviews over compliance with Policies, including understanding the policy requirements and implementation, determining the review steps for risk areas and executing the review on timely basis.
• Maintain and execute the Compliance Issue Management program, with an oversight of issues owned by Group Compliance and to ensure that control weaknesses identified by Group Compliance and/or regulators are addressed through appropriate and effective action plans.
• Provide compliance advice and support to various divisions and functional areas, ensuring alignment with applicable laws, regulations, and internal policies. Facilitate business matters, products, projects, and initiatives where appropriate to strengthen control effectiveness.
• Support regulatory reviews, including those conducted by the SFC and other regulators. Responsibilities include addressing comments or issues raised, formulating appropriate action plans, and validating the completion of remedial actions where applicable. Assist in drafting, reviewing, and maintaining internal Compliance policies, procedures, and guidelines to ensure alignment with regulatory requirements and best practices.
• Contribute to the development of internal training programs, including the creation of training materials and presentation decks to support staff awareness and understanding of compliance obligations.
• Provide support on projects related to Compliance operations, tools and controls enhancements, including initiatives related to regulatory technology, with a focus on integrating and embedding digital solutions into Group Compliance processes to enhance workflow efficiency and oversight.

Location

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

Company Overview

Hong Kong Exchanges and Clearing Limited (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. Discover the latest career opportunities and programmes at HKEX. 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.