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Manager - Enforcement (Intermediary Misconduct Team)Securities and Futures Commission
Manager - Enforcement (Intermediary Misconduct Team)Securities and Futures Commission
Job Highlights
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Job Description

Ref.: JDB/M/ENF/IM/180928


The SFC is an internationally respected regulator and law enforcement agency that helps supervise one of the world’s major financial centres. Crucial to this work is our role of investigating and taking enforcement action in relation to crimes and misconduct that hurt investors and damage the honesty and efficiency of our markets. Our Enforcement Division takes the lead role in this work in investigating and conducting enforcement action in cases that are often complex, urgent and cutting edge.

We are seeking a litigation lawyer to join our Intermediary Misconduct Team in the Enforcement Division.  If chosen, you will work in a multi-disciplinary team, partnering with professional investigators, accountants, lawyers and market specialists, providing strategic and legal advice in investigations, reviewing and assessing evidence gathered for potential enforcement action including cases prepared for potential disciplinary action.  You will also need to conduct disciplinary proceedings against intermediaries regulated by the SFC and prepare the case in appeals to the Securities and Futures Appeals Tribunal.

To be successful in this post, you should possess a tertiary degree in Law with at least 3 years of solid post-experience in litigation, law enforcement or dispute resolution. You should be a team player and good communicator with excellent command of written and spoken English and Chinese. Knowledge of Putonghua will be a plus. Familiarity with the securities and futures markets, financial and investment industries is a strong advantage.

Given SFC’s role, you must be a responsible and ethical person.


Please quote the reference and apply by 3 May 2019 with details of qualifications, previous experience, current and expected salary to:

Recruitment Manager
Securities & Futures Commission
35th Floor, Cheung Kong Center
2 Queen's Road Central, HK

For online application, please click "Apply Now" button or refer to

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
Not Specified
Employment Type
Full Time, Permanent
Company Website
Company details

The Securities and Futures Commission (SFC) is an independent statutory body that regulates the activities of securities dealers, issuers and market operators such as the Hong Kong Exchanges and Clearing Ltd. As well as promoting the fairness, efficiency and competitiveness of the securities industry, we provide protection and education to public investors, minimize crime and reduce industry risks. We have been consistently rated the best securities regulator in Asia, and we now have opportunities for high-calibre individuals to join us.