Assistant Vice President - Deputy Team Leader/ Team Member - Listed Issuer Regulation - Listing (IPO

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


Scheduled Weekly Hours:

Worker Type:

Job Summary:
Listed Issuer Regulation is responsible for ensuring a fair, orderly and efficient market for the trading of securities. It monitors listed companies' compliance with the continuing obligations of the Listing Rules including continuous disclosures by listed companies and their corporate governance practices, and processes their applications for listing of further equity issues. Listed Issuer Regulation also handles cancellations of listings, public complaints against listed companies and enquiries and requests for clarification of the application of the Listing Rules by listed companies and market practitioners.

Job Duties:

  • To lead and manage a sub-team of 1 to 2 people (within a team of 7 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 and maintenance of an acceptable standard of disclosure
  • To carry out pro-active monitoring of listed issuers and their compliance with their continuing listing obligations, identify complex issues and emerging market trends and resolve these issues
  • As deputy team leader, to manage the team's administrative matters and assist team leader in monitoring the work progress of other sub-teams and assist the team leader in guide other sub-teams in handling complex cases, and take the role of the team leader in their absence.
  • To take an active role in the development of the department by encouraging and following through on operational improvement initiatives. For example, identify and initiate discussion with management on bottlenecks and improvements required for the smooth running of the department's operations, and to take lead in implementing new businesses processes / IT systems within the team
  • To take lead in training and monitoring the progress of new/ junior team members, and also assist the team leader to identify the training needs of team members and assist their developments
  • To lead or take an active role in department work and projects covering areas/ requiring skills in project management, data analytics, information technology, newsletter/ seminars as required
  • AVP not performing the role of Deputy would take lead in certain department's projects, and also provide assistance to the team leader in areas described above.
  • To 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
  • Qualified lawyers/accountants or university graduates of other relevant disciplines with at least 8 years working experience in law, accounting, corporate finance, investment banking or a related field, of which at least 2 years at management/supervisory level. Candidates with more experience will be considered for roles with more responsibility
  • 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
  • Candidates with less experience will be considered as an AVP Team Member
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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