# Assistant Vice President, Market Surveillance & Monitoring (Enforcement)

**Company**: HKEX
**Location**: Hong Kong
**Experience**: senior
**Job type**: full-time
**Category**: Finance
**Industry**: Finance

**Apply**: https://hkex.wd3.myworkdayjobs.com/en-US/HKEXCareerPage/job/HK-ONE-ES-21F/Assistant-Vice-President--Market-Surveillance---Monitoring--Enforcement-_R003372?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply
**Canonical**: https://yubhub.co/jobs/job_4901de5e-d25

## Description

The Market Surveillance & Monitoring Department at HKEX maintains the integrity of cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants. The department also cooperates with Hong Kong and Mainland regulators on investigations of cross-boundary market misconduct under the China Stock Connect markets.

The Assistant Vice President will work proactively and collaboratively with other HKEX internal stakeholders to promote effective market regulations for a fair, orderly, and reputable market.

**Responsibilities**

- Support the team's efforts in enforcing HKEX rules and regulations on Exchange and Clearing Participants through conducting HKEX's Annual Attestation and Inspection Programme and thematic reviews

- Assist in organizing market education and communication events, including seminars and roundtables with industry associations, and publication of compliance bulletins

- Prepare presentation materials and produce data analytics for routine or ad-hoc reporting to management and regulators

- Perform UAT testing and contribute to the implementation of rule enforcement systems

- Work in collaboration with other team members to develop, maintain, and review internal policies and procedures, and explore opportunities to automate daily workflows or system enhancements

- Provide full support to the team lead in communication and liaison with local and overseas regulators, market participants, and relevant internal stakeholders

- Undertake any ad-hoc assignments as required

**Requirements**

- University degree, preferably in Business Administration, Finance, Law, or related disciplines

- At least 7 years' relevant experience, preferably in audit, inspection, enforcement, compliance, or advisory roles with regulators or in well-established financial institutions

- Good knowledge of HKEX rules and regulations as well as SFO, SFC codes, and guidelines. Enforcement experience is an advantage

- Proven ability to multitask and adjust effectively to changing priorities

- Self-starter, able to work independently, highly motivated with a strong delivery focus

- Meticulous attention to detail, strong analytical and problem-solving skills

- Strong interpersonal and presentation skills (verbal and written)

- Project management experience (planning/testing/implementation) is an advantage

- Strong command of written and spoken English and Chinese (Cantonese). Proficiency in Putonghua is preferred

- Proficiency in data analytics and visualization tools to drive insights and facilitate management reporting. Hands-on experience in Microsoft Power suite and Tableau is an advantage.

## Skills

### Required
- Business Administration
- Finance
- Law
- Audit
- Inspection
- Enforcement
- Compliance
- Data Analytics
- Microsoft Power suite
- Tableau

### Nice to have
- Project Management
- Putonghua

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Source: [Apply at hkex.wd3.myworkdayjobs.com](https://hkex.wd3.myworkdayjobs.com/en-US/HKEXCareerPage/job/HK-ONE-ES-21F/Assistant-Vice-President--Market-Surveillance---Monitoring--Enforcement-_R003372?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply)