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Associate, Listed Issuer Regulation

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:

Job Duties:

Job Responsibilities:
  • To review and approve listed issuers' matters, including vetting announcements and circulars, handling applications for listing of further securities, listing rules enquiries and waivers, review of annual reports for compliance with Listing Rules requirements and maintenance of an acceptable standard of disclosure so that the investing public are fully informed by listed issuers
  • To monitor listed issuers' activities with an objective to provide a fair, orderly and efficient market for the trading of securities, including monitoring and follow up on unusual price and volume movements in trading of securities and media reports, handling trading suspensions and resumptions
  • Work as part of a team of 7 members and as the junior member within a sub-team of 2 members, responsible for a portfolio of 80 - 120 listed issuers
  • provide accounting, legal and other professional support to the work of the Department
  • assist in projects covering areas/ requiring skills in project management, data analytics, information technology, newsletter/ seminars, as required
Job Requirements:
  • Qualified lawyers/accountants with a minimum of 3 years working experience or university graduates of other disciplines with at least 3 years working experience in law, accounting, corporate finance, investment banking or a related field will also be considered
  • Experience that demonstrates knowledge of the Listing Rules and understanding of the securities industry and its practices including securities laws and accounting practices
  • Strong interpersonal and presentation skills and working knowledge of investigative techniques and procedures
  • Good command of written and spoken English and Chinese. Proficiency in Putonghua is essential
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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