Ref.: SFC/SM/IS/ONS/INT/250117
We are currently looking for professionals who have sound market and regulatory knowledge with practical experience in the securities sector to join as Senior Manager of the Intermediaries Supervision Department of our Intermediaries Division.
Duties & Responsibilities:
Reporting to Director, you will lead a team of professional staff to carry out a varied and challenging range of responsibilities which include:
- Conducting on-site inspections on licensed corporations engaging in a broad range of regulated activities, some with complex business operations, innovative products and advanced practices; reviewing and assessing operational controls, risk management and regulatory compliance;
- Formulating effective regulatory responses and policy initiatives to address key issues identified;
- Tracking local and international regulatory developments, and supporting the Division on regulatory policy formulation;
- Interacting dynamically with senior management of intermediaries, communicate our regulatory standards and policies to the market as well as building and maintaining close working relationship with other regulatory bodies and industry associations.
Requirements:
To be successful in this role:
- A relevant university degree and / or professional qualification, and at least 10 years of solid and relevant work experience with a sound and broad knowledge of business operations and regulatory requirements in the securities sector.
- Familiarity with the review work on brokers and fund managers and readiness to cover other types of securities firms such as sponsors and corporate finance advisors.
- Excellent planning and organisation skills and proven track record of strong leadership and problem-solving skills.
- Strong interpersonal skills and an ability to build and maintain strong relationship with stakeholders.
- Excellent command of spoken and written English and Chinese. Proficiency in Mandarin will be an advantage.
- A strong sense of responsibility and impeccable integrity.
Please quote the reference and apply by 31 January 2025 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: 17 Jan 2025