Manager - Intermediaries (Off-site Supervision)

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.

We are looking for a bright, enthusiastic and determined professional to join Intermediaries Division to support our supervisory work.

As part of a team led by an Associate Director/Senior Manager, your responsibilities include:

Duties & Responsibilities:

• Supervising the licensed firms’ business conduct and compliance with relevant regulatory requirements by way of off-site monitoring;
• Proactively monitor and identify market-wide, industry, product and firm-specific issues with respect to business practices and 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 the Division in developing regulatory policies by conducting thorough research and analysis.

Requirements:

• 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 7 years of solid and relevant work experience.
• You should have sound knowledge of SFC rules and regulations and be familiar with the business practices, operations, risks and compliance controls of securities and futures brokers.
• 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.

Please quote the reference and apply by 5 December 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 : is_recruit@sfc.hk)

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.