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Legal and Regulatory Compliance

The Legal & Regulatory Compliance Division (LRCD) is responsible for providing legal advisory services and for overseeing the regulatory compliance functions of HKEX.  It is organised into the Legal Services Department (LSD), Regulatory Compliance Department (RCD) and the Chief Operating Officer Office (COO Office).

LSD advises on, amongst other things, the legality 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 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. The COO Office supports the Group General Counsel by driving key business initiatives and other divisional matters for LRCD.

Role Description

  • Support the Legal & Regulatory Compliance 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


  • Fresh graduate in 2020, or recent graduate in the last two years with less than 2 years of work experience after graduation
  • Bachelor’s degree or above, majoring in Law, Finance, Economics or Accounting
  • On track for, or achieved, minimum 2:1 degree (UK), or 3.5 GPA (Hong Kong or US) or equivalent
  • Commercial awareness and interest in global financial markets
  • Some familiarity with the financial services sector of Hong Kong
  • Excellent command of both written and spoken English and Chinese (Cantonese and Putonghua)