Manager - Enforcement (Investigation - Intermediary Misconduct Team)

Ref.: SFC/M/ENF/IM/201112

Duties & Responsibilities:

Enforcement staff work in teams of market experts, investigators, accountants and lawyers to detect and investigate suspected market and listed company crime and intermediary misconduct and to conduct and support resulting enforcement proceedings.

Enforcement staff in the Intermediary Misconduct Team focus on:

  • detecting and analysing possible unlicensed dealing in regulated activities, etc. through intelligence gathering and investigation;
  • examining intermediary misconduct by interviewing targets and witnesses, gathering documents, assessing compliance and analysing evidence;
  • preparing cases for criminal, civil or disciplinary proceedings before Hong Kong’s courts and tribunals. 


To be successful in this post, you should possess a tertiary degree in Law with at least 3 years of solid experience in litigation, law enforcement or dispute resolution. You should be a team player and good communicator with excellent command of written and spoken English and Chinese. Knowledge of Putonghua will be a plus. Familiarity with the securities and futures markets, financial and investment industries is a strong advantage.


Please quote the reference and apply by 27 November 2020 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 :

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.


Last update: 12 Nov 2020

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