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Manager - Intermediaries Supervision, Intermediaries

Ref.: SFC/M/IS/INT/201201

Intermediaries Supervision Department is seeking a high calibre candidate to join as a Manager to support its challenging profile of work.

Reporting to a Senior Manager, you will be part of a team to supervise intermediaries with a focus on their business conduct, financial and operational risks. In addition to the supervision of intermediaries in the traditional business sectors, the scope of the team’s work also covers fintech, including electronic data storage in cloud, virtual assets, robo-advice, equity crowdfunding, and machine learning.

Duties & Responsibilities:

  • Supervise the business conduct, financial and operational risk of intermediaries such as hedge fund managers, mutual fund managers, virtual asset fund managers, retail brokers and credit rating agencies;
  • Proactively identify market-wide, industry and firm-specific risk issues and assess their impact on intermediaries;
  • Monitor global as well as local policy, industry and market developments to assess intermediaries’ practices and operational controls with respect to new products or activities, and contribute to the assessment of local and global sectoral risks;
  • Monitor global and local financial market dynamics and gather market intelligence from intermediaries, especially during major market volatilities; and
  • Assist in the evaluation and supervision of virtual asset trading platform operators as required.


  • Have at least 7 years of experience in financial or operational risk control of trading activities;
  • Have industry experience in global financial institutions, preferably in both sell side and buy side;
  • Finance and data analytics knowledge from work experience or relevant academic and/or professional qualifications;
  • Strong analytical and problem solving skills;
  • Able to conduct independent research, and ask probing questions;
  • Capable of taking the initiative to manage and deliver tasks on time with limited supervision;
  • Able to articulate and present arguments and analysis confidently, clearly and concisely;
  • Strong command of written and spoken English; and
  • Well organized and able to manage multiple assignments concurrently.

Desirable Background:

  • Knowledge of SFC rules and regulations applicable to intermediaries;
  • Experience in business operations, risk management and internal controls of asset managers or brokers;
  • Technology background and knowledge of cyber risk management, and
  • Working knowledge of trading strategies or trading risk management across multiple asset classes, including virtual assets and OTC derivatives.

Please quote the reference and apply by 3 December 2021 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.


Last update: 13 Aug 2021

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