Intermediaries Supervision Department is seeking experienced professionals to support its offsite supervision work.
You will be part of a team to supervise intermediaries, with a focus on intermediaries’ financial and operational controls. The team supervise retail brokers, credit rating agencies, hedge fund managers, mutual fund managers, virtual asset managers, and virtual asset trading platform operators.
Duties & Responsibilities:
- Supervise the business conduct, financial and operational risks of intermediaries, and identify risk issues proactively
- Identify and assess regulatory breaches by intermediaries, and handle complaints against intermediaries
- Monitor global and local market developments, and assess intermediaries’ practice and controls
- Support the team’s project work as required
- At least 8 years of experience in regulatory compliance and internal controls relating to capital markets industry sectors
- Financial accounting / internal audit background or control function experience
- Familiarity with the business and operations of brokers and asset managers
- Able to cope with a variety of tasks and different team mix
- Relevant capital markets industry experience
- Background in virtual assets, technology, or cyber risk management
- Working knowledge of trading strategies or trading risk management across multiple asset classes
Please quote the reference and apply by 6 January 2023 with details of qualifications, previous experience, current and expected salary to:
Securities & Futures Commission
54/F, One Island East
18 Westlands Road, Quarry Bay, Hong Kong
(E-mail address : email@example.com)
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.
We are an EQUAL OPPORTUNITY EMPLOYER.