Senior Vice President - Central Compliance

Location: HK-ONE ES 24/F

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.