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Senior Director – Enforcement (Market Misconduct)



  • To direct the Market Misconduct team in accordance with the objectives and the priorities of the Commission and the Enforcement Division.
  • To provide leadership, guidance and on-going training to staff of the Market Misconduct team.
  • To oversee the surveillance, special operations and investigation function of the Market Misconduct Team including:

    - managing complex surveillance and investigation projects involving potential cases of insider dealing and market manipulation misconduct
       in securities, derivatives and futures markets;

    - identifying and monitoring listed companies in financial distress;

    - the review of materials gathered in the course of inquiries and making recommendations concerning possible breaches of the Securities
       and Futures Ordinance; and

    - facilitate the team’s relationship with HK and other law enforcement and regulatory bodies to improve our reach and effectiveness.  
  • To act as a decision-maker on appropriate cases and to participate in the management of the Enforcement Division.
  • To provide advice and assistance to other divisions on related investigations and to participate in policy formulation.

You are expected to participate in high level strategic decision-making in major policy issues and decisions affecting the Enforcement Division. You will also be expected to maintain a close working relationship with other divisions/departments within the SFC and other regulatory bodies. 


To be successful in this role, you must have:

  • solid experience at a senior level in a law enforcement agency or regulator; in a financial institution’s trading, risk, legal or compliance function; or in a litigation, forensic accounting, audit or insolvency firm with a relevant university degree and/or professional qualification.
  • in-depth knowledge of the operation of the financial markets plus substantial experience in the following areas:

    - investigation and disciplinary work in a relevant sector including regulatory bodies;

    - securities, futures and leveraged foreign exchange markets.
  • excellent analytical, interpersonal, presentation, written and communication skills.
  • ability to lead a large, multi-disciplinary team.
  • a strong sense of responsibility and impeccable integrity.
  • excellent command of written and spoken English. Proficiency in Chinese language would be an advantage.

Please quote the reference DHSFC and apply by 6 January 2023 with details of qualifications, previous experience, current and expected salary to:

Mr Robert Speers, Heidrick & Struggles,
Suite 3005, One Pacific Place, 88 Queensway, Hong Kong
or by email to: sfc@heidrick.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.


最后更新日期: 2022年12月12日

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