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Manager - Intermediaries Supervision (Greater China), Intermediaries

Ref.: SFC/M/IS/GC/INT/230106

Intermediaries Supervision Department is currently looking for a high calibre candidate to join as a Manager to support its offsite supervision work.


Duties & Responsibilities:

Reporting to the Senior Manager, your responsibilities include:

  • Supervise intermediaries’ business conduct, financial soundness and compliance with relevant regulatory requirements by way of off-site monitoring;
  • Identify and assess regulatory breaches by intermediaries, and handle complaints against intermediaries;
  • Proactively identify market-wide, industry and firm-specific issues and assess their impact on intermediaries;
  • Recommend and take swift actions against deficiencies and non-compliances identified; and
  • Track international regulatory developments and support the Department to implement new policy initiatives and local regulatory reform. 


To be successful in this role:

  • You should have a university degree and/or professional qualification in accounting, finance or law, and with a minimum of 5 years of solid and relevant work experience in the financial services sector;
  • Strong command of written and spoken English and Chinese is required, and proficient Putonghua for business communication is a must;
  • You must be an active team player with strong analytical, interpersonal, presentation and communication skills; and
  • A strong sense of responsibility and impeccable integrity is essential.

Please quote the reference and apply by 17 February 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2月3日

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