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Manager - Intermediaries Supervision (Off-site monitoring, Global Institutions), Intermediaries

Ref.: SFC/MGR/IS/GIT/201223

With the ongoing global financial reforms and the fast-evolving financial markets, Intermediaries Supervision Department is currently looking for a high calibre candidate to join as Manager to support its supervisory work. 


Duties & Responsibilities:

Reporting to the Associate Director / Senior Manager, your responsibilities include:

  • Supervise the business conduct and operational risk of intermediaries, with a focus on investment banks and larger global financial institutions;
  • Monitor and review intermediaries’ business activities, financial soundness and compliance with relevant rules and regulations by way of off-site monitoring;
  • Proactively monitor and identify market-wide, industry, product and firm-specific issues with respect to business practices, supervisory controls, compliance and operational controls;
  • Recommend and take swift actions against deficiencies and non-compliances identified; and
  • Track international regulatory developments, and support the Department to implement new policy initiatives and local regulatory reform.

You will be given a wide spectrum of exposure involving interaction with different lines, functions and levels of seniority at major global financial institutions, which would be a challenging and rewarding role.  You would also be able to gain valuable insight into the global capital markets and financial services industry.



To be successful in this role:

  • You should have a university degree and/or professional qualification in Accounting, Economics, Finance, IT, Law, CFA, or FRM; and at least 7 years of solid and relevant work experience with sound knowledge of the regulatory environment in the financial services sector.  You should be familiar with the trading operations, business practices and compliance controls of top tier investment banks.   
  • You must be assertive and an active team player with strong analytical, interpersonal and communication skills, and be able to work under pressure.
  • Excellent command of spoken and written English and Chinese is required. Proficiency in Putonghua will be an advantage.
  • A strong sense of responsibility and impeccable integrity is essential


Please quote the reference and apply by 8 January 2021 with details of qualifications, previous experience, current and expected salary to:

Recruitment Manager
Securities & Futures Commission
54/F, One Island East,
18 Westlands Road, Quarry Bay, 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.


最后更新日期: 2020年12月23日

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