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.

Manager - Enforcement (Investigation - Intermediary Misconduct Team) (Ref.: SCMP/MGR/ENF/IM/161125)

Job level Middle
Education
Location Central
Employment type Full Time
Industry Financial Services
Job function Accounting > Financial Analyst
Banking / Finance > Investment & Securities
Legal / Professional Services > Legal & Compliance
Published On 25/11/2016

Employer Ref.: SCMP/MGR/ENF/IM/161125

The SFC is a world recognised regulator. Its Enforcement Division works on often cutting edge market and listed company crime and intermediary misconduct cases that are intellectually challenging and crucial to Hong Kong’s status as an international financial centre. We are now seeking candidates for the Manager position in the Enforcement Division (Intermediary Misconduct Team).

Enforcement staff work in teams of market experts, investigators, accountants and lawyers to detect and investigate suspected market and listed company crime and intermediary misconduct and to conduct and support resulting enforcement proceedings.

Enforcement staff in Intermediary Misconduct Team can be involved in:

  • detecting and analysing possible unlicensed dealing in regulated activities, etc. through intelligence gathering and investigation;
  • examining intermediary misconduct by interviewing targets and witnesses, gathering documents, assessing compliance and analysing evidence;
  • preparing cases for criminal, civil or disciplinary proceedings before Hong Kong’s courts and tribunals.

Successful candidate must have a good working knowledge of market dynamics and a determined and inquisitive nature. You should have a relevant degree and experience in the securities and/or futures markets, law enforcement, intermediary compliance, regulation, litigation or be a person with a tangible interest in SFC investigation and enforcement work and the ability to develop the relevant skills quickly. Previous working experience on legal and compliance in securities or financial industries is a plus.

Candidate for the position should have excellent Chinese and English, competent analytical and computer skills and be able to explain complex issues simply. Putonghua is an advantage. Given SFC’s role, you must be a responsible and ethical person.

Applicant with less experience may be considered for the position of Assistant Manager.

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 : enf_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.