AVP - Listing Regulation and Enforcement

We are seeking an Assistant Vice President - Listing Regulation and Enforcement to lead and manage a sub-team of 1 to 2 people responsible for a portfolio of 80 – 120 listed issuers and monitoring their Listing Rules compliance.

Responsibilities:

• Lead and manage a sub-team of 1 to 2 people responsible for a portfolio of 80 – 120 listed issuers and monitoring their Listing Rules compliance, including administrating and providing guidance on interpretation of the Listing Rules, handling listing and waiver applications, and reviewing the issuers’ communications for compliance with Listing Rules requirements.
• Carry out proactive monitoring of listed issuers and their compliance with their continuing listing obligations, identify complex issues and emerging market trends, and resolve these issues.
• Take an active role in the development of the department by encouraging and following through on operational improvement initiatives.
• Take the lead in training and monitoring the progress of new/junior team members and assist the team leader in identifying the training needs of team members and assisting their development.
• Lead or take an active role in department work and projects covering areas requiring skills in project management, data analytics, information technology, newsletters, and seminars as required.
• Provide accounting, legal, and other professional support to the work of the department, particularly with respect to the review of novel and complex accounting, legal, business, and financial issues.

Requirements:

• Qualified lawyers/accountants or university graduates of other relevant disciplines with at least 8 years of working experience in law, accounting, corporate finance, investment banking, or a related field, of which at least 2 years at management/supervisory level.
• Experience that demonstrates advanced knowledge of the Listing Rules and the securities industry and its practices, including securities laws and accounting practices.
• Strong interpersonal and presentation skills and knowledge of investigative techniques and procedures.
• Good command of written and spoken English and Chinese. Proficiency in Putonghua is essential.