VP, Compliance Risk & Regulatory Oversight

HKEX Technology (Shenzhen) Limited; Hong Kong; On-site; HKD 900,000 - 1,200,000; Full time

Job summary

HKEX is seeking a Compliance Risk Oversight & Regulatory Coordination professional under Group Compliance in Hong Kong. You will run risk-based reviews for policy compliance, track regulatory commitments, and support projects that enhance compliance operations, tools and controls across divisions.

The role partners with Internal Audit to strengthen controls, deliver training, and implement digital solutions to improve workflow efficiency.

Responsibilities

• 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.

Job description

HKEX is seeking a Compliance Risk Oversight & Regulatory Coordination professional under Group Compliance in Hong Kong. You will run risk-based reviews for policy compliance, track regulatory commitments, and support projects that enhance compliance operations, tools and controls across divisions.

The role partners with Internal Audit to strengthen controls, deliver training, and implement digital solutions to improve workflow efficiency.