Associate, Post-Trade (Market Surveillance & Monitoring - Rule Enforcement)
Hong Kong ExchangeHong KongUpdate time: March 27,2019
Job Description
Associate, Post-Trade (Market Surveillance & Monitoring - Rule Enforcement) (Requisition ID: IRC3752)
Job Responsibilities:
- Responsible for execution of HKEX’s Annual Attestation and Inspection Programme, enforcement of HKEX rules and regulations, and regulation of Exchange/Clearing Participants
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Investigate breaches of HKEX rules, instigate disciplinary proceedings, including drafting and preparing the relevant documents and reports
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Produce data analytics for routine or ad-hoc reporting
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Develop, review and revise internal policies and procedures
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Communicate, interact and organize meetings with local and overseas regulators, market participants and internal departments
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Undertake ad hoc assignments, perform UAT testing and implementation of rule enforcement systems
Job Requirements:
- University degree in Business Administration, Finance, Law or related disciplines
- 3-5 years of relevant experience, preferably in enforcement, compliance or advisory roles with regulators or in well-established financial organizations
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Working knowledge of SFO, SFC codes and guidelines, as well as HKEX rules and regulations is an advantage
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Proactive, great attention to details, strong analytical (quantitative and qualitative) and presentation skills
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Experience in project management in various stages including planning, testing, implementation and monitoring is an advantage
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Excellent command of written and spoken English and Chinese. Proficiency in Putonghua is preferred
Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful. Personal data provided will only be used for the purpose of employment application to HKEX.
Primary Location: Asia Pacific-Hong Kong
Job: Legal/ Compliance/ Company Secretariat
Job Posting: 10-Apr-2019, 5:53:13 AM
Unposting Date: Ongoing
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