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Legal, Compliance & Secretarial Services Management Trainee

Legal, Compliance & Secretarial Services

Legal, Compliance & Secretarial Services (LCSS) is responsible for providing legal advisory services (other than listing matters handled by Listing) and for overseeing the regulatory compliance and secretarial services functions of HKEX. It is organised into the Legal Services Department (LSD), Regulatory Compliance Department (RCD), Secretarial Services Department (SSD) and the Chief Operating Officer Office (COO Office).

LSD advises on, amongst other things, the legal aspects of projects undertaken by HKEX, the provisions of the rules for Exchanges and Clearing Houses, any litigation and arbitration involving any HKEX Group entity, and the statutory and regulatory requirements applicable to operational matters of HKEX. RCD seeks to ensure that HKEX and its regulated affiliates have adequate procedures to comply with their regulatory obligations under the legislation and memoranda of understanding with regulators. Among other responsibilities, RCD also develops, maintains and monitors internal compliance policies pertaining to staff ethics/code of conduct. SSD provides company secretarial services for HKEX Group of companies, ensuring that HKEX is operating at the highest level of corporate governance and is in compliance with the relevant statutory and regulatory requirements. and pursuing the best corporate social responsibilities. The COO Office supports the Group General Counsel by driving key business initiatives and other divisional matters for LCSS.

As one of our Management Trainees, you will:

  • Support the LCSS team in providing regulatory and compliance advice and assistance across operational matters
  • Develop an understanding of key regulatory and compliance risks, and become experienced in identifying them
  • Participate in onsite inspections of HKEX by its key regulators
  • Contribute to the development of internal compliance policies, procedures and guidelines
  • Develop an understanding of and assist in managing HKEX’s compliance framework
  • Collaborate with internal teams and act as a gateway with regulators in Hong Kong and internationally
  • Participate in a wide-range of projects driven by the COO Office

To join us, you must:

  • Be a fresh graduate in 2021, or recent graduate in the last two years with less than 2 years of work experience after graduation
  • Hold a Bachelor’s degree or above, majoring in Law, Finance, Economics or Accounting
  • Be on track for, or achieved, minimum 2:1 degree (UK), or 3.5 GPA (Hong Kong or US) or equivalent
  • Demonstrate commercial awareness and an interest in global financial markets
  • Have familiarity with the financial services sector of Hong Kong
  • Have an excellent command of both written and spoken English and Chinese (Cantonese and Putonghua)

Applications close on 11 October 2020!

Closed 6 months ago
Closed 6 months ago
  • Job type:Graduate Jobs
  • Disciplines:

    Accounting, Banking and Finance, Business and

  • Locations:

    Hong Kong (Hong

  • Closing Date:11th Oct 2020, 3:59 pm


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