Assistant Vice President Market Surveillance & Monitoring

**Company Introduction:** _We’re home to Asia's most dynamic and vibrant capital markets. 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:** The Market Surveillance & Monitoring Department is primarily responsible for maintaining the integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants. It also cooperates with Hong Kong and Mainland regulators on their investigation of cross-boundary market misconduct under the China Stock Connect markets. The incumbent will work proactively and collaboratively with other HKEX internal stakeholders to promote effective market regulations for a fair, orderly and reputable market. **Job Duties:** **Responsibilities** * Support team’s efforts in enforcement of HKEX rules and regulations on Exchange and Clearing Participants through conducting HKEX’s Annual Attestation and Inspection Programme and thematic reviews  * Assist in organizing market education and communication events, including seminars and roundtables with industry associations, and publication of compliance bulletin  * Prepare presentation materials and produce data analytics for routine or ad-hoc reporting to management and regulators * Perform UAT testing and contribute to implementation of rule enforcement systems  * Work in collaboration with other team members to develop, maintain and review internal policies and procedures, and explore opportunities to automate daily workflows or system enhancements * Provide full support to team lead in communication and liaison with local and overseas regulators, market participants and relevant internal stakeholders  * Undertake any ad-hoc assignments as required **Requirements** * University degree, preferably in Business Administration, Finance, Law or related disciplines  * At least 7 years’ relevant experience, preferably in audit, inspection, enforcement, compliance or advisory roles with regulators or in well-established financial institutions * Good knowledge of HKEX rules and regulations as well as SFO, SFC codes and guidelines.  Enforcement experience is an advantage * Proven ability to multi task and able to adjust effectively to changing priorities * Self-starter, able to work independently, highly motivated with a strong delivery focus * Meticulous attention to details, strong analytical and problem solving skills * Strong interpersonal and presentation skills (verbal and written) * Project management experience (planning/testing/implementation) is an advantage * Strong command of written and spoken English and Chinese (Cantonese). Proficiency in Putonghua is preferred * Proficiency in data analytics and visualization tools to drive insights and facilitate management reporting. Hands-on experience in Microsoft Power suite and Tableau is an advantage. _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._ **Location:** HKEX - Exchange Square **Shift:** Standard - 40 Hours (Hong Kong SAR) **Scheduled Weekly Hours:** 40 **Worker Type:** Permanent