The Securities and Futures Commission (SFC) is an independent statutory body that regulates the activities of securities dealers, issuers and market operators such as the Hong Kong Exchanges and Clearing Ltd. As well as promoting the fairness, efficiency and competitiveness of the securities industry,...

The Securities and Futures Commission (SFC) is an independent statutory body that regulates the activities of securities dealers, issuers and market operators such as the Hong Kong Exchanges and Clearing Ltd. As well as promoting the fairness, efficiency and competitiveness of the securities industry, we provide protection and education to public investors, minimize crime and reduce industry risks. We have been consistently rated the best securities regulator in Asia, and we now have opportunities for high-calibre individuals to join us.

Management Associate - Licensing, Intermediaries (Ref.: SCMP/MA/LIC/INT/161125)

Job level Entry
Education Bachelor Degree
Location Central
Employment type Full Time
Industry Financial Services
Job function Accounting > Financial Analyst
Banking / Finance > Investment & Securities
Published On 25/11/2016

 

Employer Ref.: SCMP/MA/LIC/INT/161125

Acting as the gatekeeper for the securities and futures industry in Hong Kong, the Commission’s Licensing Department is responsible for licensing intermediaries and ensuring that only fit and proper individuals and corporations are permitted to carry on the business activities that are regulated by the Commission under the Securities and Futures Ordinance (SFO).

An exciting opportunity, with excellent career development, is now available for suitably qualified professionals or recent graduates to join the Licensing Department as Management Associate. The successful candidate will be assigned to one of the fourteen teams within the Licensing Department that are responsible for licensing intermediaries in accordance with the provisions of the SFO and the Commission’s codes, rules and guidelines. Each of these teams is supervised by an Associate Director or a Senior Manager.

Key Responsibilities:

  • Safeguard industry standards;
  • Assist in matters relating to the operational work of the Licensing Department, including the administration of the SFO and its related codes, rules and guidelines;
  • Handle licensing applications and intermediary conduct issues;
  • Interview applicants and licensees, and attend to enquiries on licensing and intermediary matters;
  • Maintain close work relationship with stakeholders; and
  • Assist in developing licensing and intermediary policies, procedures and associated projects.

Job Requirements:

  • University degree and/or professional qualification preferably in Accounting, Law, Finance or Business;
  • 1 to 2 year(s) of solid and relevant working experience will be an advantage;
  • Knowledge of the operations of the securities, futures and financial industries and associated market practices preferred;
  • Good analytical, interpersonal and communications skills;
  • Hardworking, with a strong sense of responsibility and impeccable integrity; and
  • Good command of spoken and written English and Chinese. Fluency in Putonghua will be an advantage.

Please quote the reference and apply by 9 December 2016 with details of qualifications, previous experience, current and expected salary to:

Recruitment Manager
Securities & Futures Commission
35/F, Cheung Kong Center
2 Queen’s Road Central, Hong Kong
(E-mail address : lic_recruit@sfc.hk)

All applications will be handled in strict confidence by authorised personnel and will only be used for recruitment related purposes. Applicants who do not hear from us within six months from the application deadline may consider their applications as unsuccessful. All information on unsuccessful candidates will be destroyed after six months.