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
Reporting to the Head of Compliance Risk Oversight & Regulatory Co-ordination, the VP/AVP will be responsible for the following key areas:
•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
HKEX - Exchange Square
Shift
Standard - 40 Hours (Hong Kong SAR)
Scheduled Weekly Hours
40
Worker Type
Permanent
