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Manager / Assistant Manager - Intermediaries Supervision, Intermediaries (Ref: JDB/M/AM/IS/190315)Securities and Futures Commission
Manager / Assistant Manager - Intermediaries Supervision, Intermediaries (Ref: JDB/M/AM/IS/190315)Securities and Futures Commission
Job Highlights
  • Intermediaries Supervision
  • Manager / Assistant Manager
  • A minimum of 5 years' relevant experience
Job Description

Ref.: JDB/M/AM/IS/190315



We are looking for bright, enthusiastic and determined professionals to join our Intermediaries Supervision Department.


The Department is responsible for supervising intermediaries engaged in a wide spectrum of activities, including investment banks, securities/ futures brokers, investment advisers, fund managers, corporate finance advisers, sponsors and credit rating agencies.


Our supervisory role is essential in upholding industry standards and enhancing investor protection. With a team of dynamic professionals, our work mainly involves:

  • policy setting and issuing codes and guidelines to inform the industry of our expectations;
  • reviewing intermediaries’ financial soundness and compliance with relevant rules and regulations by way of off-site monitoring and on-site inspections;
  • analysing industry and firm-specific data and depicting industry trends; and
  • taking prompt actions against deficiencies and non-compliances identified.

By joining us, you will embark on a challenging and rewarding career and be able to gain valuable insight into the different financial services currently offered in Hong Kong.


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;
  • 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
  • Providing support to the Department on regulatory policy development projects, including conducting research.


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 five years of solid and relevant work experience (eg, worked in the front office; performed any risk management, compliance, internal audit or forensic accounting functions; external audit of financial institutions, listed companies and/or initial public offering applicants; or worked in any local or overseas regulator).
  • You should have sound knowledge of 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 work independently and 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.

Candidates with less experience may be considered for the position of Assistant Managers.



Please quote the reference and apply by 29 March 2019 with details of qualifications, previous experience, current and expected salary to:

Recruitment Manager
Securities & Futures Commission
35/F, Cheung Kong Center
2 Queen’s Road Central, HK

For online application, please click "Apply Now" button or refer to,-intermediaries.html

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.

Additional Information
Years of Experience
5 years
Employment Type
Full Time
Company Website
Company details

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.