Assistant Vice President, Market Surveillance & Monitoring (Enforcement)

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.