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:
Listing Division is responsible for supervising the listing process, the ongoing compliance by issuers with their obligations under the Listing Rules, and ensuring those rules reflect best international practices.
This role is under Structured Products and Fixed Income Department and responsible for processing listing applications of structured products, monitoring post-listing compliance with Listing Rules and guidelines, conducting price monitoring for structured products and handling complaints and investor education. The department seeks to develop policy initiatives and enhance regulations to raise industry standard for the development of structured products markets.
Job Duties:
- Lead daily processing of listing applications including review of term sheets and listing documents for structured products
- Carry out post-listing monitoring of structured products issuers’ compliance with rules and guidelines, including liquidity provision and publication obligations
- Conduct regular review on issuers’ performance and suitability
- Assess complaints and potential mis-pricing incidents, review and analyse issuers’ submissions and recommend appropriate follow up actions
- Liaise with issuers on product related matters such as adjustments to structured product’s terms and conditions and annual programme update
- Prepare guidelines to enhance market transparency; and draft guidance to individual issuers to assist them in rule compliance
- Assist in policy and product development; conduct research of regulatory and market development in overseas jurisdictions
- Assist VPs in assessing waivers and novel applications and non-routine enquiries and provide recommendations
- Assist VPs and if necessary, represent SPFI in liaising with other internal units in operational initiatives, rule amendments, new product launch and other cross-departmental projects
- Supervise Associates in case follow-up and preparation of internal reports, statistics and case logs
- Identify areas of operational and system enhancements and manage system enhancement projects
Job Requirements:
- University Degree, preferably in Business, Financial Engineering or Economics
- At least 8 years’ relevant experience of which at least 2 years at a management/supervisory level in risk management, compliance, system development or control functions in investment banks, or financial services
- Good market knowledge in practices, regulations and operation of the structured products markets in Hong Kong or overseas
- Self-motivated, detail oriented and possess good project management, data analysis and communication skills
- Good command of written and spoken English and Chinese
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