Life at the SFC as an experienced professional
As Hong Kong’s securities regulator, we have a unique, complex and important responsibility. Our people is driven by a single purpose – to protect investors and improve Hong Kong as a world-class centre of investment. We must therefore keep pace with the fast-moving investment markets. Our unique environment is as challenging and dynamic as any commercial business, where people gain valuable exposure, broader experience and long-term career progression. Join us and apply your experience to a bigger and better objective.
Meet our people
Ron Chiong, Associate Director – CEO’s Office (Risk & Strategy)
“The trust from senior management impresses me the most at the SFC. It is the most direct reflection that my contribution is being valued and respected."
Intellectual challenges, learning opportunities, and personal satisfaction are always the determinants for me to consider in my career. Before joining the SFC, I was a trader where my scope of work was limited to one thing – making money for the bank. After spending ten years on the trading floor, my learning curve went to a plateau, which was something that I was not comfortable with. As a member of the financial community, I wanted to shape the growth and development of Hong Kong’s financial sector. This aspiration drove me to consider a career in the SFC.
At the Risk and Strategy Unit, my major job duty is to spot new trends and emerging risks in the securities market, such as financial innovation, market infrastructure evolution, and technological changes. I am also responsible for making strategic recommendation to senior management to tackle or mitigate such risks. The trust from senior management impresses me the most at the SFC. It is the most direct reflection that my contribution is being valued and respected. Knowing that my work can help to keep Hong Kong's financial system safe and sound, and be prepared for changes or crisis gives me the greatest job satisfaction.
Overall, I observe that the SFC cares and invests heavily in its people. There are many opportunities for industry meetings, trainings and seminars in which I am privileged to participate in and from which I can gain new perspectives to my work. These events also offer me the chance to liaise with overseas regulators and other senior professionals in the industry in a direct and proactive manner.
Unlike in the commercial world where all activities are monetarily driven, at the SFC, we are here for a different purpose – to better Hong Kong as an international financial centre and to maintain our leadership on this front. If you are considering a career at SFC, ask yourself why you want to be here and what purpose you are here for. A purpose to contribute holistically to sound development of the financial markets, commitment and enthusiasm will guide you to success.
Carina Lai, Manager - Intermediaries Supervision
“The SFC gives you a wide exposure to the market, constant training to keep up-to-date with market trends and development to prepare for new challenges.”
Working at the SFC gives me a wide exposure to different groups of clientele varying in sizes and scopes. My day-to-day work involves meeting with different licensed corporations to understand how they run and the control measures they have in place.
This job gives me opportunities to meet with the senior management of licensed corporations for both discussion on their operations and advising on their control processes. I believe these opportunities are very rare for junior staff working elsewhere. Being able to spot potential breaches and detect potential fraud during inspections are the moments that give me a great sense of achievement. I am reminded of the meaningful purpose my work serves in protecting the public interests.
The SFC understands that in order for its staff to carry out their duties, they must be equipped with sufficient regulatory and market knowledge, hence, we receive an immense amount of support to stay on top of market developments. The large variety of training courses and seminars provided here are impressive. At the SFC, the culture of continuous learning is very much embedded in the workplace. I think this is the secret to why the SFC has always been able to stay abreast of the market rather than lag behind it.
I have learnt a lot working alongside intelligent and professional colleagues who come from different backgrounds with different areas of specialization. They are very willing to talk about problematic cases and are very open for discussion as we work on different projects as a team.
Those who are attracted by the non-profit-making nature of the SFC and who answer to the call to defend the orderliness of the securities and futures market in HK should consider a career at the SFC. The SFC gives you a wide exposure to the market, constant training to keep up-to-date with market trends and development to prepare for new challenges. You should not expect to perform routine work here as all our cases are very different. The SFC plays a unique role in safeguarding the soundness of the securities and futures market in Hong Kong. It is well-recognized and reputable in the financial industry, both locally and internationally . I feel privileged to be part of it and to be contributing to the greater good of our society.
Amy Lam, Counsel - Legal Services
“The SFC is for people with a desire to make a difference in our society, for people who are motivated by the greater good to get out of bed every morning.”
After working in magic circle firms that represent financial institutions, listed companies and high net worth individuals, I was looking for a career that would allow me to impact the wider community. I decided to join the SFC because it is a world-class financial services regulator with admirable objectives that are consistent with my personal values.
As an in-house legal counsel to the operating divisions of the SFC, I am involved in the drafting of legislation and the advising of the SFC divisions on any legal issues that arise from their operations. This role exposes me to the full spectrum of SFC’s functions in shaping and regulating the securities and futures industry, thus deepening and broadening my understanding of this dynamic industry and the regulations to which its participants are subject. My role at the SFC offers the opportunity to collaborate with not only the various SFC divisions, but also the government, other regulatory bodies in Hong Kong and overseas regulators. Working at the SFC, therefore, provides a unique platform to be at the forefront of the latest regulatory trends in the securities and futures market.
What distinguishes the SFC from commercial law firms is that its client is the public of Hong Kong. Here at the SFC, we strive to achieve common statutory objectives, including, to maintain and promote the fairness, efficiency and transparency of the securities and futures industry, and to protect investors. The nature of the SFC’s work and its emphasis on public service are what I find most attractive about working here. I feel a great sense of responsibility in the work I do because of the wide impact it has.
The SFC is for people with a “different purpose”. It is for people with a desire to make a difference in our society, for people who are motivated by the greater good to get out of bed every morning. I urge people with such conviction and commitment to consider a career at the SFC, and I look forward to working with you.