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Senior Manager - Enforcement (Investigation - Market Misconduct Team)

Ref.: SFC/SM/ENF/MMT/220624

We are now seeking candidates for the Senior Manager position in the Enforcement Division (Investigation - Market Misconduct Team).  This is an excellent opportunity for you to join our team of professionals in the Enforcement Division of the SFC.  The Enforcement Division investigates and combats market and listed company crimes and investigates intermediary misconduct cases.  These investigations are intellectually challenging and crucial to Hong Kong’s status as an international financial centre.

Duties & Responsibilities:

Enforcement staff work in teams of market experts, investigators, accountants and lawyers to detect and investigate suspected market and listed company crime and intermediary misconduct and to conduct and support resulting enforcement proceedings.
Enforcement staff can be involved in:

  • detecting and analysing possible securities and futures market and listed company crime and misconduct through intelligence gathering and real time market surveillance;
  • gathering evidence into suspected market crimes and misconduct by interviewing witnesses, gathering documents and analysing evidence;
  • preparing cases for criminal, civil or disciplinary proceedings before Hong Kong’s courts and tribunals.


The successful candidate must have a good working knowledge of market dynamics and a determined and inquisitive nature.  He or she should have a relevant degree and preferably with professional qualifications in Law or Accounting and/or relevant experience in corporate finance. An ideal candidate should have at least eight years of working experience in securities firms, investment banks, corporate advisers, law enforcement agents, professional law or accounting firms with a tangible interest in SFC investigation and enforcement work and the ability to develop the relevant skills quickly. In-depth knowledge of the Listing Rules is a plus. 

Excellent command of written and spoken English and Chinese, competent analytical skills and the ability to communicate effectively and articulate complex issues simply is essential. Putonghua is also an advantage. 

Please quote the reference and apply by 8 July 2022 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 : enf_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.



sǴ: 2022~624

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