Ref.: SFC/D/ENF/INVIMT/241004
Duties & Responsibilities:
We are now seeking a Director in the Intermediary Misconduct Team within the Enforcement Division. This is an excellent opportunity to join the statutory body which regulates and promotes the development of the securities and futures markets in Hong Kong.
You will manage a portfolio of complex investigations and lead teams of investigators focusing on a specialised area of activity. Your main responsibilities will include conducting investigations into misconduct by licensed entities and registered institutions, as well as criminal offences related to unlicensed activities, virtual assets (VA), offers of investments and investment fraud. The teams under your supervision will gather and analyse evidence, make recommendations regarding potential breaches of the Securities and Futures Ordinance and Anti-Money Laundering and Counter-Terrorist Financing Ordinance, as well as other instances of misconduct by regulated persons. You will also work closely with legal professionals within the SFC to prepare cases for criminal, civil or disciplinary proceedings.
You will be responsible for identifying relevant regulatory options, developing and implementing strategic plans to ensure effective enforcement outcomes. You are also expected to participate in high-level strategic decision-making regarding major policy and operational issues within the Enforcement Division. You will maintain close working relationships with other divisions, departments and teams within the SFC, as well as other regulatory bodies.
Requirements:
To be a successful candidate for this role, you must possess:
- A minimum of 12 years of relevant working experience, with extensive senior-level exposure, in financial regulation, legal, accounting or financial services industry, or a law enforcement agency.
- In-depth knowledge of the regulation and operations of the securities and futures markets, as well as the financial services industry.
- Relevant university degree and/or professional qualifications.
- Excellent analytical skills and a proven track record in managing a wide range of complex projects.
- Strong leadership skills at a senior level, particularly in managing teams with diverse experience, while also being a collaborative team player.
- Excellent command of written and spoken English and Chinese.
- Strong interpersonal, communication and presentation skills.
- Impeccable integrity.
Having a strong working knowledge and experience in relation to operation of VA trading platforms and VA-related activities, exposure to cross-divisional work and fluency in Putonghua would be advantageous.
Please quote the reference and apply by 18 October 2024 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.
We are an EQUAL OPPORTUNITY EMPLOYER.
Last update: 4 Oct 2024