Assistant Manager – Intermediaries (Intermediaries Supervision)
Intermediaries Supervision Department is seeking a bright, enthusiastic and determined candidate to join as an Assistant Manager to support its challenging profile of work.
Reporting to a Senior Manager, you will be part of a team to supervise intermediaries such as retail brokers and asset managers with a focus on their business conduct, financial and operational risks.
Key Responsibilities:
- Supervising intermediaries’ business conduct and compliance with relevant regulatory requirements by way of off-site monitoring;
- Monitor the financial soundness of intermediaries
- 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;
Requirements:
- You should have a university degree and/or professional qualification i.e. in the area of Accounting / Economics / Finance / CFA / FRM; and at least five years of solid and relevant work experience (e.g., compliance, operational control or internal audit functions of financial institutions such as top tier investment banks or asset managers; external audit or forensic accountant functions of financial institutions).
- You should be familiar with the trading operations, business practices and compliance controls of licensed corporations.
- You should have sound knowledge of SFC rules and regulations (applicable to intermediaries) and market practices.
- You must be an active team player with strong analytical, interpersonal and communication skills, and be able to work independently.
- Strong command of spoken and written English and Chinese is required.
- A strong sense of responsibility and impeccable integrity is essential.
Please quote the reference and apply by 1 August 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 : APPLY NOW[protected-phone-number]?utm_source=govhk&utm_medium=organic&utm_campaign=joblists)
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.