Manager - Licensing, Intermediaries

Ref.: SFC/M/LIC/INT/210625

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 a 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
  • Assist his or her team head to supervise junior team members
  • 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

Requirements:

  • University degree and/or professional qualification preferably in Accounting, Finance or Law
  • A minimum of five 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
  • Candidate with less experience will be considered for Assistant Manager post

Please quote the reference and apply by 8 October 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 : lic_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: 24 Sep 2021

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