Regulatory Compliance Officer

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:
You will support the Listing Regulation and Enforcement Department of Hong Kong Exchange and Clearing Limited, in discharging its regulatory functions.



Job Duties:



Responsibilities

• Provide operational and professional support in relation to the enforcement and disciplinary work of Listing Regulation and Enforcement Department
• Coordinate the provision of assistance to other regulators and enforcement agencies by responding to their requests for information and/or documents
• Manage, maintain and operate reports and databases, including strategic/regular reporting, conducting conflict and compliance history checks
• Provide administrative support, including management and production of case documents
• Draft documents and correspondence
• Assist in delivering a wide range of legal and non-legal projects undertaken by the Department

Requirements

• Bachelor's Degree in Law or a related discipline
• At least one year of experience as a paralegal at a law firm or comparable institution; a background in litigation or regulatory matters will be an advantage
• Diligent, well-organised, attentive to detail
• Energetic and willing to learn
• Proficient in conducting research
• Good team player with good interpersonal and communication skills
• Proficient in MS Word, Excel, Outlook and PowerPoint
• Working knowledge of the Listing Rules and knowledge of the securities industry and its practices including securities laws and accounting practices will be an advantage
• Good command of written and spoken English and Chinese. Proficiency in Putonghua is essential.

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:
HK-ONE ES 43/F



Shift:
Standard - 40 Hours (Hong Kong SAR)



Scheduled Weekly Hours:
40



Worker Type:
Permanent