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Senior Vice President - Employee Compliance & Control Room - Group Compliance

Hong Kong Exchanges and Clearing Limited
Hong Kong
Gepostet vor etwa 3 Stunden Permanent Competitive
Senior Vice President - Employee Compliance & Control Room - Group Compliance
SVP- Group Compliance - Employee Compliance & Control Room

GroupCompliance seeks to ensure that HKEX Group has adequate procedures and controlsto comply with relevant laws rules and regulations across the regulatorylandscape. The team manages the second line of defence independent challengefunction for regulatory risks by assessing and challenging first line ofdefence activities and adequacy of procedures and controls.

Thisrole will report into the Group Chief Compliance Officer and will be a memberof the Compliance management team. Responsibilities will be as follows:

EmployeeCompliance
  • Lead the Group's Employee Compliance Program, including Conflicts of Interest, Personal Account Dealing, Anti-Bribery & Anti-Corruption and Whistleblowing
  • Work with HR/ Employee Relations on the escalation, management and disposition of Employee related issues
  • Work with the business and HKEX leadership to define and implement the firm-wide Conduct Program
  • Manage and develop the operational team executing the group controls
  • Provide Regulatory Compliance advice and support on the Group's needs on related policies, laws, rules and regulations

ControlRoom & Conflicts Management
  • Responsible for the Control Room regulatory framework and associated controls as they relate to the HKEX including wall crossing and information barriers.
  • Work with HR and Listing to identify and manage conflicts as they arise though the normal course of business
  • Advise on and escalate control matters through relevant Governance Committees

Requirements
  • An advanced degree or professional qualification in Law, Accounting or related discipline. Legal qualification an advantage.
  • In-depth knowledge of Corporate Finance, Investment Banking workflows, information barrier and wall crossing processes
  • A 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 level
  • Excellent oral, written communication and presentation skills, inter-personal skills and excellent relationship building skills; ability to work with stakeholders at different levels
  • Strong analytical skills and ability to make sound judgements
  • Fluent in English and Chinese. Proficiency in Putonghua an advantage

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  IRC24240
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