Responsibilities:

• Employee Compliance:
• Support implementation of the Group’s Employee Compliance program and associated controls, including Anti-Bribery & Anti-Corruption, Conflicts of Interest, and Whistleblowing.
• Work with HR / Employment Law Legal on the escalation and management of policy breaches.
• Provide Compliance training and advice in relation to Group Compliance’s policies.

• Financial Crime Compliance:
• Support the enhancement and implementation of the Group’s financial crime prevention program, including risk assessment, policies, control framework, and training.
• Provide advice to business on financial crime-related matters.

• Compliance Projects:
• Lead group-wide projects, compliance projects, including and not limited to, new / refreshed compliance policies implementation, Group Compliance Division’s processes enhancement, automation, and digitization.

• Governance and Regulatory Engagement:
• Assist the enhancement and implementation of Compliance Risk Appetite metrics, and key indicators.
• Assist compliance reporting to management / board committees.
• Liaison with regulatory bodies, manage relationships with agencies, and manage information requests.

Requirements:

• Bachelor degree or equivalent in Law, Accounting, Finance, or related discipline.
• Knowledge and hands-on experiences of compliance frameworks, policies, processes, and controls.
• A minimum of 10 years of proven experience in regulatory compliance gained from working for a financial institution, a regulatory authority, a Government agency, or a law firm, of which at least 10 years at a management level.
• Excellent oral, written communication, and presentation skills.
• Strong analytical skills and inter-personal skills; ability to work with stakeholders at different levels.
• A collaborative team player with the ability to work independently and embrace new challenges.
• Demonstrates flexibility and a growth mindset, with a commitment to continuous learning and development.
• Fluent in English and Chinese.

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The role serves as a trusted advisor to business and functional teams, helping stakeholders understand applicable regulatory requirements, supervisory expectations, and emerging regulatory developments. Working closely with businesses including Markets, Operations, Legal, and Risk teams, the role translates regulatory requirements into practical and actionable guidance that supports informed decision-making and effective risk management.

The role also supports the Group's interactions with regulators by providing advice and coordination on significant regulatory matters and engagements. While maintaining strong working relationships with regulators and internal stakeholders, the role is expected to be equally effective advising working-level teams and engaging senior management on significant regulatory matters.

Responsibilities:

• Regulatory Advisory and Oversight:
• Lead the provision of enterprise-wide regulatory advice and guidance to business and functional teams across the Group.
• Provide clear, practical, and consistent interpretation of regulatory requirements, supervisory expectations, and regulatory developments.
• Develop relationships with HKEX’s regulators across jurisdictions to effectively communicate regulatory concerns and manage communications around business change.
• Support business teams in identifying and assessing regulatory implications arising from new products, business initiatives, operational changes, and strategic projects.
• Regulatory Engagement Oversight:
• Support and advise business and functional teams in their interactions with regulatory authorities.
• Maintain awareness of significant regulatory engagements and developments across the Group.
• Provide guidance on regulatory expectations, regulatory communications, and engagement approaches.
• Coordinate compliance input into responses to significant regulatory enquiries, thematic reviews, and external assessments where required.

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The team ensures the smooth and timely processing of all clearing activities from trade acceptance up till settlement or expiry. This includes managing operational risks, maintaining high standards of accuracy, compliance, and market integrity, and handling exceptions or contingency events with professionalism and sound judgement aligned with the risk appetite of HKEX.

Responsibilities:

• Provide competent operational and administration support to the clearing operations, and resolve exceptions and contingency situations swiftly and professionally
• Carry out effective and efficient operational processes in order to deliver quality services and to support new business initiatives
• Liaise with internal teams, external business counterparties, market participants on daily operations and new clearing products / services
• Deliver project tasks including user requirements and users acceptance tests
• Establish and maintain operational relationships actively with participants by delivering quality service improvements
• Work shift duties including evening shift and public holiday support on regular and need basis

Requirements:

• University Degree, preferably in Finance / Business Administration / Accountancy / Economics or related subject
• 1 - 2 years’ relevant experience in financial industry, preferably in the securities, derivatives or OTC clearing operations
• Ability to articulate and contribute with clear and open communication, with good command of written and spoken English and Chinese; proficiency in Putonghua is an advantage
• Strong analytical thinking and risk awareness to day-to-day operations
• Conversant with Microsoft Word / Excel / Outlook / PowerPoint, knowledge in macro, AI and automatic tools are advantages

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The successful candidate will assist in process improvement and automation initiatives to enhance efficiency, strengthen controls, and reduce manual tasks.

Responsibilities:

• Carry out daily depository and vault operations in accordance with established rules, procedures, and policies of the clearing houses
• Handle physical certificates, provide counter service, perform daily reconciliation, and generate MIS reports for management's review
• Propose operational flow changes to enhance day-to-day operational efficiency
• Support automation and process reengineering initiatives to eliminate manual and redundant tasks
• Undertake ad hoc tasks as assigned by superior
• Identify exceptional cases and escalate to management

Requirements:

• University degree in Finance, Business Administration, Economics, or related disciplines
• Knowledge of clearing/settlement/nominees/custodial operations in Hong Kong and Global markets
• At least 2-3 years of relevant experience in a well-established financial organization
• Demonstrated proactivity, adaptability, innovation, and ability to manage multiple tasks; excellent communication, interpersonal, and analytical skills
• Intellectual curiosity to investigate underlying causes and implications of issues
• Good command of written and spoken English and Chinese; proficiency in Putonghua is an advantage
• Familiar with MS Word, Excel, Access, and Chinese Word Processing
• Proficiency in Macros and VBA is an advantage

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Responsibilities include:

• Supporting the development and execution of the ETP business strategy.
• Leading or contributing to cross-functional projects involving internal and external stakeholders.
• Preparing strategic analyses, business cases, and governance materials.
• Working across departments to coordinate the listing of new products.
• Working with market makers and issuers to strengthen the market-making ecosystem.
• Monitoring the performance and development of HKEX's ETP portfolio.
• Building effective relationships with issuers, market makers, and other market participants, and leading selected client engagements.
• Advancing the team's product development and knowledge management capabilities through effective use of AI-enabled tools.
• Supporting the development of junior colleagues through day-to-day guidance, review of work, and knowledge sharing.

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Responsibilities:

• Review user requirements and functional specifications and translate them into test cases
• Plan and execute User Acceptance Testing (UAT) within tight timelines
• Document test results and problem logs in a systematic manner
• Assist in maintaining UAT problem logs and coordinate with the IT development team to identify resolutions and retest strategies
• Contribute to the timely delivery of the project in line with project scope and expectations

Requirements:

• University degree, preferably in Risk Management, Engineering, Mathematics, or a related subject
• At least 5 years of relevant experience, preferably in well-established financial organisations
• Experience in medium or large-scale project UAT
• Strong oral and written communication skills
• Familiarity with various project management tools, such as Confluence, JIRA, etc.
• Proficient with Excel, VBA, and preferably able to work with programming languages such as Python and SQL
• A team player and self-starter who can proactively engage with peers and clients, take ownership, and ensure timely completion of all deliverables
• Ability to work at a fast pace in a team and adapt style to ensure the project's success

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Responsibilities:

• Partner with QA, BA, IT, and project teams to translate business requirements, functional specifications, and testing standards into agents, prompt libraries, or structured knowledge assets.
• Build and maintain AI agents, prompt libraries, skill libraries, and knowledge assets for system testing.
• Produce clear documentation, usage guides, examples, and training materials to help team members adopt AI-assisted testing practices effectively.
• Design, maintain, and continuously improve prompt templates, prompt patterns, and reusable AI skill markdown structures for AI-assisted testing activities.
• Define validation procedures to review AI-generated test scenarios, test conditions, test cases, test data, automation scripts, defect summaries, and comparison outputs for accuracy, completeness, business logic, and risk coverage.

Requirements:

• University degree, preferably in Risk Management, Computer Science, Information Systems, Engineering, Mathematics, Data Analytics, or a related discipline.
• At least 3 years of relevant experience, preferably in well-established financial organisations.
• Intermediate knowledge of generative AI, large language models, prompt engineering, and the need to validate AI-generated outputs before use.
• Hands-on experience using AI tools for testing, documentation, data analysis, automation-script drafting, or workflow support.
• Experience driving adoption of new testing tools, automation practices, or AI-assisted delivery methods is preferred.
• Strong oral and written communication skills.
• Familiar with various project management tools, e.g., Confluence, JIRA, etc.
• Familiarity with equity derivatives is a plus.
• Proficient with Excel, VBA, and preferably the ability to work with programming languages such as Python and SQL.
• A team player and a self-starter, who can proactively engage with peers and clients, take ownership to ensure timely completion of all deliverables.
• Ability to work at a fast pace in a team and adapt style to ensure the project is successful.

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Responsibilities:

• Perform critical operational duties such as account setup, account administration, support functions to Clearing Participants/Investor Participants, and preparing MIS reports for Management's review.
• Carry out due diligence and know-your-customer procedures for Clearing Participant/Investor Participant onboarding, account monitoring, and reporting in compliance with regulatory requirements, such as FATCA and AEOI.
• Propose appropriate operational flow changes to strengthen control and enhance day-to-day operational efficiency.
• Support implementation of new products, projects, and business initiatives.
• Undertake other ad hoc tasks as assigned by supervisors.

Requirements:

• University Degree, preferably in Finance/Business Administration or related disciplines.
• At least 3-4 years' relevant experience in securities firms or well-established financial institutions with knowledge in securities, with exposure to Hong Kong and Mainland cash and derivatives markets.
• Good command of written and spoken English and Chinese; proficiency in Putonghua will be an advantage.
• Self-motivated, great attention to detail, good team player, strong communication and presentation skills.
• Conversant PC skills including MS Word/Excel/PowerPoint/Access; proficiency in Macros and VBA is an advantage.

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