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

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:

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 internalCompliance 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 projectsrelated 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.

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.

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