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 - Investment Products (Ref.: SCMP/SM/IP/161111)

Job level Senior
Work exp Minimum 10 Years
Education Bachelor Degree
Location Central
Employment type Full Time
Industry Financial Services
Job function Banking / Finance > Investment & Securities
Banking / Finance > Legal / Compliance
Legal / Professional Services > Legal & Compliance
Published On 11/11/2016

Employer Ref.: SCMP/SM/IP/161111

We are currently looking for professionals who have sound market/regulatory knowledge in investment products/product innovation and/or practical experience in the international financial markets to join our Investment Products Division.

The position will offer you the opportunity to join a dynamic team of professionals responsible for the authorization and monitoring of marketing and disclosure documents of investment products available to the investing public in the Hong Kong market including unit trusts and mutual funds, listed REITs and ETFs, investment linked assurance schemes and unlisted structured investment products.

As a senior member of the Team, you will be responsible for managing operational teams in the review of applications for authorisation of offering documents and marketing materials relating to publicly offered investment products and the administration of regulatory requirements and policies in the SFC Products Handbook and relevant provisions in the Securities and Futures Ordinance. You will be involved in policy initiatives to help promote Hong Kong as an asset management centre. You should be able to communicate effectively our regulatory standards and policies to, and interact with, market professionals at senior management level and maintain relationships with the industry and other regulatory bodies.

To be successful in this position, you must have a University degree and professional qualification in Law/Finance/Economics/CFA, together with at least 10 years of solid experience in the financial services sector, preferably with a background of product origination or legal and regulatory experience. You should possess excellent problem solving skills and working knowledge in the investment risks and structure of complex investment products. Candidates are expected to have led and coached multi-discipline teams and are prepared to work under pressure. Excellent presentation skills including report writing and an excellent command of written and spoken English is a must. Proficiency in Chinese and Putonghua and/or prior working experience in leading overseas financial markets will be an advantage.

Please quote the reference and apply by 25 November 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 : ip_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.