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:
Lead the Compliance Policy and Standards Team within Group Compliance, setting and maintaining the Group-wide compliance framework, policies and standards across market integrity, conduct, conflicts and financial crime compliance.
The role provides clear, practical, and consistent guidance to business and functional teams, and oversees the effective application of compliance requirements across the Group. The remit includes Personal Account Dealing, Conflicts of Interest, information barriers and wall-crossing, Code of Conduct and behavioral risk, Anti-Bribery and Corruption, anti-money laundering and broader financial crime matters.
Working closely with business, Legal, Risk, Human Resources and other control functions, the role promotes a proportionate and risk-based approach, supports the resolution of sensitive compliance matters, and strengthens awareness and ownership of compliance obligations.
The role reports to the Head of Group Compliance and is a member of the Compliance Leadership Team.
Job Duties:
Job Responsibilities
Compliance Policy and Standards Governance
- Lead the development, review, maintenance and implementation of Group-wide compliance policies, standards and guidance, ensuring regulatory requirements and emerging compliance risks are translated into practical, risk-based policies, controls and implementation guidance for business and functional stakeholders.
- Provide oversight and challenges on policy exceptions, breaches, remediation and other material compliance matters within the team’s remit.
- Promote effective compliance awareness through targeted communications, guidance, and training.
Market Integrity, Conduct and Conflicts Compliance
- Oversee Personal Account Dealing matters, including policy requirements, advisory, and case handling.
- Provide advice and support the resolution of actual, potential or perceived Conflicts of Interest.
- Oversee information barrier advisory, including wall-crossing requests and related controls.
- Provide oversight of Code of Conduct matters and behavioral risk, including advice on sensitive cases and appropriate escalation.
- Oversee advisory, approval and breach handling relating to Anti-Bribery and Corruption requirements.
- Oversee advice and approvals relating to financial crime and anti-money laundering risks.
- Lead or coordinate engagement with the regulators and the handling of relevant cases.
Leadership and Stakeholder Management
- Contribute to the Group’s compliance strategy, governance framework and operating model, and support Group Compliance on significant policy, conduct, conflicts and financial crime matters, including engagement with senior management and relevant governance forums.
- Build trusted relationships across business and functional teams, providing constructive challenge and practical, solutions-oriented advice.
- Lead, develop and manage the team, ensuring clear accountability, strong subject-matter expertise, effective resource deployment and high-quality delivery.
Job Requirements:
Education & Professional Qualification
- Advanced degree in Law, Accounting, Finance or a related discipline. Relevant professional qualifications in legal, compliance, audit, accounting or financial crime are advantageous.
Compliance & Market Expertise
- Strong knowledge of Hong Kong’s regulatory framework for securities, derivatives and market infrastructure, together with awareness of relevant international developments.
- Deep expertise in compliance policy and governance, conduct, conflicts of interest, information barriers, financial crime, anti-bribery and corruption, and anti-money laundering.
- Demonstrated ability to interpret regulatory expectations and convert them into clear, proportionate and implementable policies, standards and controls.
Experience
- Minimum 15 years of relevant experience across compliance, legal, risk, audit, policy and standards, conduct, conflicts management and/or financial crime, gained within an exchange, clearing house, financial institution, regulatory authority and/or professional services environment.
- Demonstrated expertise in developing, implementing and overseeing enterprise-wide compliance and policy frameworks, including advising on complex and sensitive regulatory, conduct and governance matters, and translating regulatory requirements into practical business solutions.
- Proven leadership and people management experience, with a strong track record of building and developing high-performing teams, managing resources effectively, and delivering strategic compliance initiatives across a complex organization.
Stakeholder Management, Advisory, Communication & Leadership
- Exceptional stakeholder management, advisory and influencing skills, with the ability to engage, challenge and build consensus among senior management, business leaders, boards, committees, regulators and other key stakeholders on complex and sensitive matters.
- Excellent written and verbal communication skills, with the ability to articulate complex regulatory and compliance requirements clearly, provide pragmatic and risk-based advice, and communicate effectively with diverse audiences across the organization.
- Proven leadership capability, including building and developing high-performing teams, effective resource management, fostering a collaborative and accountable culture, and delivering strategic initiatives and outcomes across a complex organization.
- Strong collaboration, relationship management and interpersonal skills, with a demonstrated ability to build trusted partnerships, influence without direct authority, navigate competing priorities, and deliver high-quality results in a fast-paced environment under pressure and tight deadlines.
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
