Manager / Assistant Manager - Intermediaries Supervision (Inspection), Intermediaries

Ref.: SFC/M/AM/IS/INS/INT/210409

We are looking for bright, enthusiastic and determined professionals to join Intermediaries Supervision Department as Assistant Manager I for our supervisory work.

As part of a team led by an Associate Director/Senior Manager, your responsibilities include:

  • Supervising intermediaries’ business conduct and compliance with relevant regulatory requirements by way of on-site inspections;
  • Identifying firm-specific issues with respect to business practices, supervisory controls, compliance and operational controls;
  • Recommending and taking swift actions against deficiencies and non-compliances identified;
  • Identifying trends in market practices and potential risk areas for policy deliberations; and
  • Assisting in conducting research on international regulatory and market developments.

To be successful in this role:

  • You should have a university degree and/or professional qualification, i.e. in the area of Accounting / Economics / Finance / IT / Law / CFA / FRM / CISA; and at least three years of solid and relevant work experience.
  • You should be familiar with SFC rules and regulations (applicable to intermediaries) and market practices.
  • You must be assertive and an active team player with strong analytical, interpersonal and communication skills, and be able to cope with pressure.
  • Excellent command of spoken and written English and Chinese is required. Proficiency in Putonghua will be an advantage.
  • A strong sense of responsibility and impeccable integrity is essential.

Please quote the reference and apply by 23 April 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 : 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.

We are an EQUAL OPPORTUNITY EMPLOYER.

Last update: 9 Apr 2021

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