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. By joining the Enforcement Department, you will be provided with an interesting mix of investigative and disciplinary case work, together with challenging project work. You will need to be a strong, balanced 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 the cause of fairness and justice.
• Investigate potential misconduct and breaches relating to the Listing Rules • Conduct disciplinary action, including presentation before the Listing Committee • Assist the Head of Enforcement in all enforcement matters, including in furthering the objectives of the Department • Provide assistance in formulating and implementing disciplinary and enforcement policy and procedures, and participating in other projects undertaken by the Department
• Qualified lawyer with at least 3 years' professional experience OR university graduate with at least 3 years' relevant professional experience in law, accounting, investigations, enforcement, corporate finance, investment banking or a related field • Experience in regulatory litigation or other contentious fields, particularly regarding financial services, will be highly regarded • Knowledge of Main Board Listing Rules and GEM Listing Rules is preferred, including underlying principles and published interpretations • Knowledge of investigative techniques and procedures • Strong interpersonal and presentation skills • Strong analytical, writing and advocacy skills • Fluency in written and spoken English • Good command of written and spoken Chinese (proficiency in Putonghua is preferred)
Hong Kong Exchanges and Clearing Limited (HKEX) is one of the world's major exchange groups, and operates a range of equity, commodity, fixed income and currency markets. HKEX is the world's leading IPO market and as Hong Kong's only securities and derivatives exchange and sole operator of its clearing houses, it is uniquely placed to offer regional and international investors access to Asia's most vibrant markets.
As the global markets leader in the Asian time-zone, we offer a world of opportunities for early careers and experienced hires. Here, we know that diverse thinking fosters better solutions, and we are committed to building an open and dynamic environment which allows our business to innovate and our people to thrive.
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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.