HKEX's Listing Division conducts the day-to-day administration of the Listing Rules as part of The Stock Exchange of Hong Kong's role as the front-line regulator of listed companies in Hong Kong. The Listing Enforcement Department of the Listing Department is responsible for investigating possible breaches of the Listing Rules and thereafter issuing regulatory letters (such as warning letters) or, in more serious matters, initiating and conducting disciplinary proceedings before the Listing (Disciplinary) Committee. The successful candidate is expected to:
Job Responsibilities:
Investigate and conduct disciplinary action for breaches of the Exchange Listing Rules, including presentation before the Listing Committee
Assist the Head of Enforcement in all enforcement matters, including the formulation of disciplinary policy and procedures
Provide assistance in policy related or other projects undertaken by the Department as required
Job Requirements:
Qualified Lawyer of at least 8 years' relevant working experience in regulatory, administrative or white collar crime litigation as a barrister or solicitor. Experience in financial markets regulation and law enforcement an advantage
Preferably good working knowledge of Main Board Listing Rules and GEM Listing Rules overall, including underlying principles and published interpretations
Strong interpersonal and presentation skills and working knowledge of investigative techniques and procedures
Strong analytical, English writing and advocacy skills
Good command of written and spoken Chinese. Proficiency in Putonghua is preferred
Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful. Personal data provided will only be used for the purpose of employment application to HKEX.
