Facebook   LinkedIn   WeChat   YouTube 警示名單
Temporary Senior Manager / Manager (1-Year Contract) - Intermediaries Supervision, Intermediaries

Ref.: SFC/TSM/TM/IS/INT/220119

Intermediaries Supervision Department is seeking experienced professionals to support its offsite supervision work.

You will be part of a team to supervise intermediaries, with a focus on intermediaries’ financial and operational controls.

Duties & Responsibilities:

  • Supervise retail brokers, hedge fund managers, mutual fund managers, and identify risk issues proactively
  • Identify and assess regulatory breaches by intermediaries, and handle complaints against intermediaries
  • Monitor global and local market developments, and assess intermediaries’ practice and controls
  • Assist other team members’ project work as required


  • At least 10 years of experience in regulatory compliance and internal controls
  • Financial accounting or internal audit background
  • Familiarity with the business and operations of brokers and asset managers
  • Able to cope with a variety of tasks and different team mix
  • Finance knowledge is an advantage

Applicants with less experience can be considered for the position of Manager.

Please quote the reference and apply by 16 December 2022 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.


最後更新日期: 2022年12月2日

免责声明 Disclaimer statement




The Securities and Futures Commission (SFC) provides a character-based conversion software (this Software) free of charge in this website. Permission is granted for users to use this Software to convert the web content from traditional Chinese character version to simplified Chinese character version. The SFC undertakes no liability for defects in this Software and gives no warranty in relation to its quality and performance and in particular, but without prejudice to the generality of the foregoing, the SFC shall have no such liability regarding the fitness for purpose, quality or merchantability of this Software, whether express or implied, statutory or otherwise.

The SFC expressly states that it has not approved or endorsed the simplified Chinese character version of the web content and the SFC accepts no responsibility or liability (whatsoever and howsoever caused) for such simplified Chinese character version of the web content. The SFC also expressly states that this simplified Chinese character version of the website is solely established by converting the characters in the traditional Chinese character version via this Software, which involves no corresponding conversion between the terms and expressions used in the Hong Kong SAR and Mainland China. The SFC accepts no responsibility or liability for the fitness of the content of the simplified Chinese character version. Under no circumstances should users treat the simplified Chinese character version of the web content as an equivalent of the traditional Chinese character version thereof. Users should verify the simplified Chinese character version of the web content by making reference to the published traditional Chinese character version thereof, and should at their own costs seek independent legal advice on the legal status, validity and effect of the simplified Chinese character version of the web content before relying or acting upon it.

If you transmit the content of this simplified Chinese character version website or its URL to any third party, you agree to forward this Disclaimer Statement at the same time to the third party and guarantee that the third party agrees to accept this Disclaimer Statement before browsing the content of the simplified Chinese character version of this website.