Senior Vice President - Head of Employee & Financial Crime Compliance & Listing
Hong Kong Exchanges and Clearing
- 香港
- 長期
- 全職
Connecting capital, ideas, inspiration and innovation for deeper, more diverse and liquid global capital markets; providing greater choice and opportunity for our customers, each and every day.HKEX is a purpose-driven company. Our commitment to the long-term development of our business and our markets is articulated in our purpose: "To Connect, Promote and Progress our Markets and the Communities they support for the prosperity of all."Job Summary: Group Compliance seeks to ensure that HKEX Group has adequate procedures and controls to comply with relevant laws and regulations across the regulatory landscape and to support HKEX’s sustainable growth.This role will report into the Group Chief Compliance Officer and will be a member of the Compliance management team.Job Duties:Job ResponsibilitiesEmployee ComplianceDevelop and implement the Group’s Employee Compliance program, including Conflicts of Interest, Personal Account Dealing, Anti-Bribery & Anti-Corruption, Whistleblowing.Work with HR / Employee Relations on the escalation, management and disposition of Employee related issuesWork with the business and HKEX leadership to define and implement the firm-wide Conduct ProgramProvide Compliance training in relation to Group’s policies and conduct.Provide advice and support on the Group’s needs on related policies, laws and regulationsFinancial Crime ComplianceDevelop and implement the Group’s financial crime prevention program and conduct institutional risk assessmentProvide advice and work with the business on financial crime related mattersImplement controls to mitigate and manage compliance risk arising from financial crime and sanctionsListing – Information Barrier & Conflicts ManagementDevelop and implement the Group’s regulatory framework and associated controls regarding wall crossing and information barrierDevelop and implement controls and provide advice to relevant business to identify and manage conflicts on entity level and individual level as they arise though the normal course of businessProvide advice to Listing on compliance and control matters as second line of defenseAdvise on and escalate control matters through relevant Governance CommitteesJob RequirementsAn advanced degree or professional qualification in Law, Accounting or related discipline. Legal qualification an advantage.In-depth knowledge of Investment Banking and Corporate Finance workflows, information barrier and wall crossing processesA minimum of 15 years of proven experience in regulatory compliance gained from working for an investment bank, a financial institution, a regulatory authority, a Government agency or a law firm, of which at least 10 years at a management levelExcellent oral, written communication and presentation skills, inter-personal skills and excellent relationship building skills; ability to work with stakeholders at different levelsStrong analytical skills and ability to make sound judgementsFluent in English and Chinese. Proficiency in Putonghua an advantageHKEX 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.Location: HKEX - Exchange SquareShift: Standard - 40 Hours (Hong Kong SAR)Scheduled Weekly Hours: 40Worker Type: Permanent