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.

Senior Manager – Intermediaries Supervision (Compliance/Inspection Team), Intermediaries (Ref.: SCMP/SM/COM/IS/INT/161125)

Job level Senior
Education
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/SM/COM/IS/INT/161125

The SFC supervises a wide variety of intermediaries in the Hong Kong securities and futures markets, including investment banks, securities/ futures brokers, hedge fund and traditional fund managers, investment advisers, corporate finance advisers and credit rating agencies. We are currently looking for a professional who has sound market and regulatory knowledge with practical experience in the securities sector to join as a senior manager of the Intermediaries Supervision Department of our Intermediaries Division.

Reporting to Director, you will lead a team of professional staff to carry out a varied and challenging range of responsibilities which include:

  • Conduct on-site inspections on a broad range of regulated activities, some involving complex business operations, innovative products and advanced practices, to review and assess operational controls, risk management and regulatory compliance;
  • Formulate effective regulatory responses and policy initiatives to address key issues identified;
  • Interact dynamically with senior management of intermediaries, communicate our regulatory standards and policies to the market as well as build and maintain close working relationship with other regulatory bodies and industry associations.

To be successful in this role, you should have:

  • A relevant university degree and/or professional qualification, and at least 8 years of solid and relevant work experience with a sound and broad knowledge of business operations and regulatory requirements in the securities sector. Expertise in derivatives operations will be an advantage.
  • Proven track record of strong leadership and problem solving skills.
  • Strong interpersonal skills and an ability to build and maintain strong relationship with stakeholders.
  • Excellent command of spoken and written English and Chinese. Proficiency in Putonghua will be an advantage.
  • A strong sense of responsibility and impeccable integrity.

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 : is_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.