Securities and Futures Commission

Manager / Assistant Manager - Intermediaries Supervision (INS) [Ref: JDB/M/AM/IS/INS/INT/210409]

Securities and Futures Commission
Posted on 9-Apr-21

Manager / Assistant Manager - Intermediaries Supervision (INS) [Ref: JDB/M/AM/IS/INS/INT/210409]

Securities and Futures Commission

Job Highlights

  • Able to conduct independent research
  • At least 7 years’ industry experience
  • Strong command of written and spoken English

Job Description

Ref.: JDB/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

For online application, please click "Apply Now" button or refer to https://www.sfc.hk/en/Career/Why-the-SFC/Join-us-as-an-experienced-professional/Current-Openings/210409-Manager_Assistant-Manager_Intermediaries-Supervision_Inspection_Intermediaries

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.

Additional Information

Career Level
Middle
Qualification
Degree
Years of Experience
N/A
Job Type
Full Time

Company Overview

The Securities and Futures Commission (SFC) is the independent statutory body regulating the securities and futures markets in Hong Kong. We are committed to protecting the integrity and soundness of the market for the benefit of investors and the industry.

Working for a globally respected regulator provides unique opportunities to serve the public and advance Hong Kong’s position as an international financial centre. Join us to achieve greater things in your career.

Additional Company Information

Industry
Others