Senior Vice President / Vice President - Listing Enforcement

Hong Kong Exchanges and Clearing Limited
Hong Kong, Hong Kong
Mar 31, 2023
Apr 14, 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
HKEX - Exchange Square

Standard - 40 Hours (Hong Kong SAR)

Scheduled Weekly Hours:

Worker Type:

Job Summary:

Job Duties:
The Stock Exchange is the front-line regulator of listed companies in Hong Kong. The Enforcement Department of HKEX's Listing Division is responsible for investigating possible breaches of the Listing Rules and taking appropriate enforcement action, which includes conducting disciplinary proceedings before the Listing Committee. As a senior member of the Enforcement Department, you will be responsible for designing and implementing strategies to further the objectives of the Department, through a combination of investigative/disciplinary case work, and initiatives to educate the market, influence compliance culture, and enhance corporate governance. You will need to be a strong and persuasive communicator, with an enquiring mind and an eye for detail. The successful candidate will have the highest integrity, and be motivated by the prospect of unravelling complex issues in important regulatory matters, and the opportunity to ensure fairness in, and enhance the quality of, the capital market. Job Responsibilities:

The successful candidate is expected to:

• Understand the Enforcement Department's role and vision, and play a lead advocacy role in promoting the Exchange's enforcement messages
• Lead and develop a team of experienced professionals
• Oversee investigations and disciplinary action relating to breaches of the Exchange Listing Rules
• Present disciplinary cases before the Listing Committee
• Proactively seek out optimal approaches and solutions
• Assist the Head of Enforcement in all enforcement matters, including the formulation of disciplinary policy and procedures

Job Requirements:

• Qualified lawyer or accountant, with at least 12 years' relevant working experience in regulatory or financial investigations, litigation/disputes, or regulatory/law enforcement (experience in financial markets an advantage)
• Broad and deep knowledge of investigative techniques and procedures
• Knowledge of the Securities and Futures Ordinance and Listing Rules (Main Board and GEM) is preferred, together with an understanding of the capital markets
• Knowledge of administrative law issues is preferred
• An experienced leader capable of motivating, mentoring and developing legal/professional staff (including experienced and senior lawyers)
• A strategic, creative and lateral thinker with excellent analytical and problem-solving skills, and ambition to improve through adaption and innovation
• Strong interpersonal, relationship management, and presentation skills
• The highest standards of integrity and professional ethics
• Strong writing skills, with a focus on analysis and advocacy
• Fluency in written and spoken English
• Good command of written and spoken Chinese

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.

Company Introduction:

Hong Kong Exchanges and Clearing Limited (HKEX) is one of the world's major exchange groups, and operates a range of equity, commodity, fixed income and currency markets. HKEX is the world's leading IPO market and as Hong Kong's only securities and derivatives exchange and sole operator of its clearing houses, it is uniquely placed to offer regional and international investors access to Asia's most vibrant markets.

As the global markets leader in the Asian time-zone, we offer a world of opportunities for early careers and experienced hires. Here, we know that diverse thinking fosters better solutions, and we are committed to building an open and dynamic environment which allows our business to innovate and our people to thrive.

Discover the latest career opportunities and programmes at HKEX.

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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