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Manager - Intermediaries Supervision, Intermediaries (Off-site monitoring and policy)Securities and Futures Commission
  • Central
  • Salary negotiable
  • Posted on 22 May 2019
Manager - Intermediaries Supervision, Intermediaries (Off-site monitoring and policy)Securities and Futures Commission
Job Highlights
  • Intermediaries Supervision
  • Manager
  • -
Job Description

Ref.: JDB/M/IS/OSMP/190522



We are currently looking for a high calibre candidate to join our Intermediaries Supervision Department as Manager to support its supervisory work. 

Reporting to the Associate Director / Senior Manager, your responsibilities include:

  • Supervise intermediaries' business conduct, financial soundness and compliance with relevant regulatory requirements by way of off-site monitoring;
  • Monitor and identify market-wide, industry, product and firm-specific issues with respect to business practices, supervisory controls, compliance and operational controls;
  • Recommend and take swift actions against deficiencies and non-compliances identified; and
  • Track international regulatory developments, and support the Department to implement new policy initiatives and local regulatory reform.

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.

To be successful in this role:

  • You should have a university degree and/or professional qualification in Accounting, Finance, CFA, or FRM; and at least 7 years of solid and relevant work experience with sound knowledge of the regulatory environment in the financial services sector.
  • You should be familiar with the Securities and Futures (Financial Resources) Rules as well as capital requirements adopted by the US and the European banking / securities regulators. Working knowledge and experience in implementing Basel capital requirements, plus strong analytical skills with experiences in market risk and credit risk, would be an advantage.
  • Strong command of written and spoken English and Chinese (Putonghua proficiency for business communication is a must). Ability to explain complicated financial concepts in plain language and understand and write complicated legislation is a plus.
  • You must be assertive and an active team player with strong analytical, interpersonal and communication skills, and be able to work under pressure.
  • A strong sense of responsibility and impeccable integrity is essential.



Please quote the reference and apply by 7 June 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
7 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.