Intermediaries Supervision Department is seeking experienced professionals to support its offsite supervision work.
You will be part of a team to supervise intermediaries, with a focus on intermediaries’ financial and operational controls.
Duties & Responsibilities:
- Supervise retail brokers, hedge fund managers, mutual fund managers, and identify risk issues proactively
- Identify and assess regulatory breaches by intermediaries, and handle complaints against intermediaries
- Monitor global and local market developments, and assess intermediaries’ practice and controls
- Assist other team members’ project work as required
- At least 10 years of experience in regulatory compliance and internal controls
- Financial accounting or internal audit background
- Familiarity with the business and operations of brokers and asset managers
- Able to cope with a variety of tasks and different team mix
- Finance knowledge is an advantage
Applicants with less experience can be considered for the position of Manager.
Please quote the reference and apply by 24 September 2021 with details of qualifications, previous experience, current and expected salary to:
Securities & Futures Commission
54/F, One Island East,
18 Westlands Road, Quarry Bay, Hong Kong
(E-mail address : firstname.lastname@example.org)
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: 10 Sep 2021