VP, Compliance Risk Oversight & Regulatory Coordination

Hong Kong Exchanges and Clearing Limited (HKEX); Hong Kong; Sur place; HKD 1 200 000 - 1 800 000; Plein temps

Avantages offerts par ce poste

Equal Opportunity Employer

Résumé du poste

Hong Kong Exchanges and Clearing Limited (HKEX) seeks an experienced VP/AVP for Compliance Risk Oversight & Regulatory Co-ordination in Hong Kong. You will lead risk-based reviews, oversee the Compliance Issue Management program and provide cross-divisional compliance guidance to ensure alignment with laws and internal policies.

Engage with regulators, including the SFC, and drive remedial action plans while collaborating with Internal Audit to tighten controls and enhance governance.

Qualifications

• Assist in drafting, reviewing, and maintaining internal Compliance policies.
• Contribute to the development of internal training programs and presentation decks to support staff awareness of compliance obligations.
• Provide support on projects related to Compliance operations, tools and controls enhancements, including regtech initiatives.

Responsabilités

• 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.

Description du poste

Hong Kong Exchanges and Clearing Limited (HKEX) seeks an experienced VP/AVP for Compliance Risk Oversight & Regulatory Co-ordination in Hong Kong. You will lead risk-based reviews, oversee the Compliance Issue Management program and provide cross-divisional compliance guidance to ensure alignment with laws and internal policies.

Engage with regulators, including the SFC, and drive remedial action plans while collaborating with Internal Audit to tighten controls and enhance governance.