Assistant Vice President, Market Surveillance & Monitoring (Enforcement)
Core
Enforce market rules and regulations for HKEX cash and derivatives markets through real-time monitoring, inspections, and regulatory liaison.
Role type
Senior IC market surveillance and enforcement specialist
Builds
Effective market regulations and compliance enforcement systems
Domain
Financial markets regulation and enforcement
Required skills
Market rule enforcement, regulatory inspection, data analytics, policy development, stakeholder liaison, project management
Preferred skills
Audit experience, system automation, Power BI/Tableau proficiency, Putonghua fluency
Technologies
Microsoft Power suite, Tableau
Responsibilities
Conduct Annual Attestation and Inspection Programme and thematic reviews; Organize market education events and publish compliance bulletins; Prepare data analytics for management and regulator reporting; Perform UAT testing for rule enforcement systems; Develop and review internal policies and procedures; Liaise with local and overseas regulators and market participants
Seniority
Senior, hands-on IC