For Recruiters

Senior Vice President / Vice President - Listing Enforcement

Hong Kong Exchanges and Clearing Limited
Hong Kong
Posted about 18 hours ago Permanent Competitive
Senior Vice President / Vice President - Listing Enforcement
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.

As a senior member of the Enforcement Department, you will be responsible for designing and implementing strategies to further the objectives of the Department, through a combination of investigative/disciplinary case work, and initiatives to educate the market, influence compliance culture, and enhance corporate governance.

You will need to be a strong 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 important regulatory matters, and the opportunity to ensure fairness in, and enhance the quality of, the capital market.

Job Responsibilities:

The successful candidate is expected to:
  • Understand the Enforcement Department's role and vision, and play a lead advocacy role in promoting the Exchange's enforcement messages
  • Lead and develop a team of experienced professionals
  • Oversee investigations and disciplinary action relating to breaches of the Exchange Listing Rules
  • Present disciplinary cases before the Listing Committee
  • Proactively seek out optimal approaches and solutions
  • Assist the Head of Enforcement in all enforcement matters, including the formulation of disciplinary policy and procedures


Job Requirements:
  • Qualified lawyer or accountant, with at least 12 years' relevant working experience in regulatory or financial investigations, litigation/disputes, or regulatory/law enforcement (experience in financial markets an advantage)
  • Broad and deep knowledge of investigative techniques and procedures
  • Knowledge of the Securities and Futures Ordinance and Listing Rules (Main Board and GEM) is preferred, together with an understanding of the capital markets
  • Knowledge of administrative law issues is preferred
  • An experienced leader capable of motivating, mentoring and developing legal/professional staff (including experienced and senior lawyers)
  • A strategic, creative and lateral thinker with excellent analytical and problem-solving skills, and ambition to improve through adaption and innovation
  • Strong interpersonal, relationship management, and presentation skills
  • The highest standards of integrity and professional ethics
  • Strong writing skills, with a focus on analysis and advocacy
  • Fluency in written and spoken English
  • Good command of written and spoken Chinese

Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful. Personal data provided will only be used for the purpose of employment application to HKEX.
Job ID  IRC17179
More Jobs From Hong Kong Exchanges and Clearing Limited
Hong Kong Exchanges and Clearing Limited
Assistant Vice President/ Associate - Listing Enforcement - Listing
Hong Kong Exchanges and Clearing Limited
Hong Kong
1 day ago Full time Competitive
Hong Kong Exchanges and Clearing Limited
Vice President - Market Surveillance & Monitoring (Enforcement/ Investigation/ Disciplinary)
Hong Kong Exchanges and Clearing Limited
Hong Kong
1 day ago Full time Competitive
Hong Kong Exchanges and Clearing Limited
Paralegal (12 months contract)
Hong Kong Exchanges and Clearing Limited
Hong Kong
1 day ago Full time Competitive
Hong Kong Exchanges and Clearing Limited
Assistant Vice President - Policy and Secretariat Services - Listing (Legal)
Hong Kong Exchanges and Clearing Limited
Hong Kong
1 day ago Full time Competitive
Hong Kong Exchanges and Clearing Limited
Vice President/ Assistant Vice President (Legal - Litigation) - Listing, Listed Issuer Regulation
Hong Kong Exchanges and Clearing Limited
Hong Kong
1 day ago Full time Competitive
Hong Kong Exchanges and Clearing Limited
Systems Development Manager - Listing and Corporate Systems - Assistant Vice President
Hong Kong Exchanges and Clearing Limited
Hong Kong
1 day ago Full time Competitive
Hong Kong Exchanges and Clearing Limited
Senior Vice President - Employee Compliance & Control Room - Group Compliance
Hong Kong Exchanges and Clearing Limited
Hong Kong
1 day ago Full time Competitive
Hong Kong Exchanges and Clearing Limited
Senior Security Systems Manager - Information Security Governance - Assistant Vice President
Hong Kong Exchanges and Clearing Limited
Hong Kong
1 day ago Full time Competitive
Hong Kong Exchanges and Clearing Limited
Business Management - Finance - Senior Vice President / Vice President
Hong Kong Exchanges and Clearing Limited
Hong Kong
1 day ago Full time Competitive
Hong Kong Exchanges and Clearing Limited
Senior Vice President - Head of Innovation Risk - Group Risk Managment
Hong Kong Exchanges and Clearing Limited
Hong Kong
1 day ago Full time Competitive
More Jobs Like This
Hong Kong Exchanges and Clearing Limited
Assistant Vice President/ Associate - Listing Enforcement - Listing
Hong Kong Exchanges and Clearing Limited
Hong Kong
Hong Kong Exchanges and Clearing Limited
Paralegal (12 months contract)
Hong Kong Exchanges and Clearing Limited
Hong Kong