Vice President - Monitoring & Testing
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: Monitoring and Corporate Functions Compliance, under Group Compliance, is responsible for managing the Compliance Policies Monitoring Program, which includes oversight of the Compliance Issue Validation Program. The program involves ongoing reviews to assess adherence to internal compliance policies and procedures. The team provides compliance advisory and support to various divisions and functional areas, including Legal & Secretarial Services, Human Resources, Corporate Communications, and Finance. In addition, it partners with Internal Audit to offer insights that enhance alignment and strengthen the effectiveness of controls across divisions and functions.Through the implementation of compliance monitoring programs, the team supports HKEX employees in upholding the HKEX Values — Integrity, Diversity, Excellence, Collaboration, and Engagement — and fulfilling their public interest obligations.Job Duties:Reporting to the Head of Monitoring & Corporate Functions Compliance, the Vice President, Compliance Manager will be responsible for the following key areas:
- Develop and implement a comprehensive Compliance Policy Monitoring Program, including ongoing reviews to assess adherence to internal compliance policies and procedures.
- Maintain and execute the Compliance Issue Management program, with an oversight of issues owned by Group Compliance and to ensure that control weaknesses identified by Group Compliance and/or regulators are addressed through appropriate and effective action plans.
- Provide expert compliance advice and support to various divisions and functional areas, ensuring alignment with applicable laws, regulations, and internal policies. Facilitate business matters, products, projects, and initiatives where appropriate to strengthen control effectiveness.
- Engage closely with Internal Audit, staying informed of audit scope, testing schedules, and overall timelines. Provide expert insights to both Audit and Coverage teams to ensure alignment and enhance the controls effectiveness.
- Support regulatory inspections, including those conducted by the SFC and other regulators. Responsibilities include addressing comments or issues raised, formulating appropriate action plans, and validating the completion of remedial actions where applicable.
- Assist in drafting, reviewing, and maintaining internal Compliance policies, procedures, and guidelines to ensure alignment with regulatory requirements and best practices.
- Contribute to the development of internal training programs, including the creation of training materials and presentation decks to support staff awareness and understanding of compliance obligations.
- Provide support on ad-hoc projects, including initiatives related to regulatory technology, with a focus on integrating and embedding digital solutions into Group Compliance processes to enhance workflow efficiency and oversight.