Vice President / Assistant Vice President - Compliance Risk Oversight & Regulatory Coordination

Hong Kong Exchanges and Clearing Limited (HKEX) • Full Time • Hong Kong Island, Hong Kong, China • 3d ago

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:

Compliance Risk Oversight & Regulatory Co-ordination, under Group Compliance, is responsible for running the compliance risk oversight program to manage regulatory reviews, conduct risk-based reviews over compliance with Compliance Policies and other internal policies as requested, facilitate regulatory commitments tracking and support projects related to Compliance operations, tools and controls enhancements. The team provides compliance support to various divisions and functional areas. 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 risk oversight program, the team supports GCRO from managing the Compliance & Conduct Risk, upholding the HKEX Values — Integrity, Diversity, Excellence, Collaboration, and Engagement, and fulfilling their public interest obligations.

Job Duties:

Reporting to the Head of Compliance Risk Oversight & Regulatory Co-ordination, the VP/AVP will be responsible for the following key areas:

- Develop and implement the risk-based reviews over compliance with Policies, including understanding the policy requirements and implementation, determining the review steps for risk areas and executing the review on timely basis.

- 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 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.

- Support regulatory reviews, 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 projects related to Compliance operations, tools and controls enhancements, 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.

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

Similar Jobs

Senior Sales Manager, Global Network Banking (GNB) Hong Kong, GPS

HSBC Global Services Limited • Full Time • Hong Kong Island, Hong Kong, China • 23h ago

Banking / Finance Full Time

GCB 4 We are currently seeking a high calibre professional to join our team as a Senior Sales Manager, Global Network Banking (GNB) Hong Kong, GPS . Principal Responsibilities Build and maintain strong relationships wit...

23h ago

Apply

Senior Associate / Associate, Financial Crime Advisory (Institutional Banking Group)

DBS Bank • Full Time • Hong Kong Island, Hong Kong, China • 1d ago

Banking / Finance Full Time

Business Function Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with al...

1d ago

Apply

Manager, Credit Control, APAC

Flexport • Full Time • Hong Kong Island, Hong Kong, China • 2d ago

Banking / Finance Full Time

About Flexport: At Flexport, we believe global trade can move the human race forward. That’s why it’s our mission to make global commerce so easy there will be more of it. We’re shaping the future of a $10T industry with...

2d ago

Apply

Assistant Vice President – Risk Systems Assurance, Operations Risk Platform & Analytics, Operations

Hong Kong Exchanges and Clearing Limited (HKEX) • Full Time • Hong Kong Island, Hong Kong, China • 2d ago

Banking / Finance Full Time

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 cho...

2d ago

Apply

Executive Director, Relationship Manager

Nomura Holdings, inc. • Full Time • Hong Kong Island, Hong Kong, China • 2d ago

Banking / Finance Full Time

Job Title: Executive Director, Relationship Manager Corporate Title: Executive Director Division: International Wealth Management Location: Hong Kong SFID: 15439 Licensed: Yes Company Overview: Nomura is a financial ser...

2d ago

Apply

Investment Analyst

Fidelity International • Full Time • Hong Kong Island, Hong Kong, China • 2d ago

Banking / Finance Full Time

About the Opportunity Job Type: PermanentApplication Deadline: 30 November 2026 Job Description Title Investment Analyst Department Equity Research Location Shanghai or Hong Kong Reports To ...

2d ago

Apply

Regulatory Reporting, Legal Entity Controlling

DBS Bank • Full Time • Hong Kong Island, Hong Kong, China • 3d ago

Banking / Finance Full Time

Business Function Group Finance aims to deliver world-class standards in reporting, financial planning and finance processes. We provide insights and analyses that help the bank make sound business decisions – whether in...

3d ago

Apply

Regional Finance Operations Manager

Richemont • Full Time • Hong Kong Island, Hong Kong, China • 3d ago

Banking / Finance Full Time

Richemont, one of the world leaders in the luxury sector, has various Houses specializing in jewelry, watches and high-end accessories.Each Maison proudly embodies a tradition of style, quality and craftsmanship and Rich...

3d ago

Apply

Assistant Vice President, Post Trade Business Implementation & Analytics

Hong Kong Exchanges and Clearing Limited (HKEX) • Full Time • Hong Kong Island, Hong Kong, China • 3d ago

Banking / Finance Full Time

3d ago

Apply

Branch Business Manager, Consumer Banking Group

DBS Bank • Full Time • Hong Kong Island, Hong Kong, China • 3d ago

Banking / Finance Full Time

Business Function As the leading bank in Asia, DBS Consumer Banking Group is in a unique position to help our customers realise their dreams and ambitions. As a market leader in the consumer banking business, DBS has a f...

3d ago

Apply