Manager / Assistant Manager - Intermediaries (On-site Supervision)

Ref.: SFC/M/AM/INT/IS/ONS/260116

We are looking for bright, enthusiastic and determined professionals to join our On-site Supervision Team, Intermediaries.

The Team 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.

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.

Duties & Responsibilities:

Our supervisory role is essential in upholding industry standards and enhancing investor protection. As part of a team led by an Associate Director/Senior Manager, your responsibilities include:

• supervising intermediaries’ business conduct and compliance with relevant rules and regulations by way of on-site inspections;

• identifying firm-specific issues with respect to business practices, supervisory controls, compliance and operational controls;

• taking prompt actions against deficiencies and non-compliances identified;

• identifying trends in market practices and potential risk areas for policy deliberations

• assisting in conducting research on international regulatory and market developments; and

• providing support in policy setting and issuing codes and guidelines to inform the industry of our expectations.

Requirements:

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 (e.g., worked in the risk management, operational control, compliance or internal audit department of financial institutions such as top tier investment banks; external audit or forensic account functions of financial institutions; 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 Mandarin 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 11 September 2026with 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

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.