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Officer - Paralegal - Listing Enforcement - Listing (12 months contract)

Hong Kong Exchanges and Clearing Limited
Hong Kong, Hong Kong
Closing date
Oct 11, 2023

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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:
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.

By joining the Enforcement Department, you will be provided with an interesting mix of investigative and disciplinary case work, together with challenging project work. You will need to be a strong, balanced 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 the cause of fairness and justice.

Job Duties:

  • Provide operational and professional support in relation to the work of the Enforcement Department
  • Coordinate the provision of assistance to other regulators and enforcement agencies by responding to their requests for information and/or documents
  • Manage, maintain and operate reports and databases, including strategic/regular reporting
  • Conducting conflict and compliance history checks
  • Provide administrative support, including management and production of case documents
  • Draft documents and correspondence; assist with translation of documents
  • Conduct research, including into legal and regulatory issues, and report findings/analysis
  • Assist in delivering a wide range of legal and non-legal projects undertaken by the Department
  • Bachelor's Degree in Law or a related discipline
  • At least one year of experience as a paralegal at a law firm, regulator, or comparable institution; a background in litigation or regulatory matters will be an advantage
  • Diligent, well-organised, attentive to detail
  • Energetic and willing to learn
  • Proficient in conducting research
  • Good team player with good interpersonal and communication skills
  • Proficient in MS Word, Excel, Outlook and PowerPoint
  • Working knowledge of the Listing Rules and knowledge of the securities industry and its practices including securities laws and accounting practices will be an advantage
  • Good command of written and spoken English and Chinese. Proficiency in Putonghua is preferred.
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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