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Senior Manager - Intermediaries Supervision, Intermediaries

Ref.: SFC/SM/IS/INT/230512

Intermediaries Supervision Department is seeking a high calibre candidate to join as Senior Manager to support its changing profile of work.

You will be part of a team to supervise intermediaries, with a focus on intermediaries’ conduct, financial and operational risks. In addition to supervising firms in the traditional financial sector, the team also have fintech related work, including virtual assets and machine learning.


Duties & Responsibilities:

  • Supervise hedge fund managers, virtual asset fund managers, mutual fund managers, retail brokers as well as credit rating agencies, and identify risk issues proactively
  • Provide thought leadership in evaluating the key business drivers and evolving risk profile in the asset management and broking sectors
  • Proactively identify market-wide, industry and firm-specific risk issues and assess their impact on intermediaries 
  • Monitor global and local market developments, and assess intermediaries’ practice and controls 
  • Support the Commission’s participation in global policy initiatives as required, interact with major overseas regulators directly on policy and supervisory matters
  • Help develop local policy initiatives and supervisory priorities



  • At least 10 years of experience in internal controls, with focus on operational and trading risks in capital markets
  • High degree of familiarity with the operations and best practice at buy and sell sides gained in top tier global financial institutions
  • Broad knowledge of trading strategies and global financial markets
  • Good at defining problems, developing analysis, articulating views, and responding to objections
  • Able to leverage market and technical experience to challenge business practice 
  • Versatile, have an agile mind, and be able to adapt to fast-paced market or policy developments

An applicant with relevant experience may be given the opportunity to participate in virtual asset trading platform related work.


Desirable attributes: 

  • Knowledge of virtual assets
  • Technology background


Please quote the reference and apply by 13 October 2023 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: 2023年9月29日

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