Assistant Manager - Licensing, Intermediaries

Ref.: SFC/AM/LIC/INT/211105

Acting as the gatekeeper for the securities and futures industry in Hong Kong, the Commission’s Licensing Department is responsible for licensing intermediaries and ensuring that only fit and proper individuals and corporations are permitted to carry on the business activities that are regulated by the Commission under the Securities and Futures Ordinance (SFO).

Exciting opportunities are now available for suitably qualified professionals to join the Licensing Department as an Assistant Manager. The successful candidate will be assigned to one of the licensing teams which is supervised by an Associate Director or a Senior Manager.  

Duties & Responsibilities:

  • Handle licensing applications and intermediary conduct issues, including interviewing applicants
  • Inquire into complaints made against licensed persons
  • Deal with enquiries on licensing matters
  • May assist in formulating policy and work on cross-divisional projects
  • Develop and maintain constructive and harmonious relationships with market participants and colleagues within the Commission


  • University degree and/or professional qualification preferably in Accounting, Finance or Law
  • A minimum of three years’ relevant working experience
  • Preferably with knowledge of the licensing requirements, and the operations of the securities, futures and financial industries and associated market practices
  • Strong analytical, interpersonal and communications skills
  • Hardworking, with a strong sense of responsibility and integrity
  • Good command of spoken and written English and Chinese. Proficiency in Putonghua will be an advantage

Please quote the reference and apply by 19 November 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 :

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: 2021年11月5日

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