Manager / Assistant Manager- Intermediaries (Off-site monitoring, Global institutions) (Ref: SFC/M/AM/INT/IS/OFM/GI/260918)

Intermediaries Division is looking for a high calibre candidate to join our Off-site monitoring, Global institutions team, Intermediaries to support its supervisory work.Duties & Responsibilities: Reporting to the Associate Director Senior Manager, you will be responsible for:Supervising the business conduct, financial soundness and regulatory compliance of intermediaries (with a focus on large global financial institutions), primarily by way of off-site monitoring;Identifying and assessing regulatory breaches by intermediaries, and handling complaints against intermediaries;Proactively monitoring and identifying market-wide, industry, product and firm-specific issues and assessing their impact on intermediaries;Recommending and taking swift actions in relation to regulatory concerns and internal control deficiencies that have been identified; andTracking international regulatory developments and supporting the Division to implement new policy initiatives and local regulatory reforms.…

Location

Within Hong Kong

Industry

Financial Services / Investment / Securities

Job Function

Banking / Finance > Legal / Compliance

Published On

18 Sep 2026