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Manager - Enforcement (Intermediary Misconduct Team)

Ref.: SFC/M/ENF/IM/210226


Duties & Responsibilities:

We are seeking a litigator to join our Intermediary Misconduct Team in the Enforcement Division.  If chosen, you will work in a multi-disciplinary team, partnering with professional investigators, accountants, lawyers and market specialists, providing strategic and legal advice in investigations, reviewing and assessing evidence gathered for potential enforcement action including cases prepared for potential disciplinary action.  You will also need to conduct disciplinary proceedings against intermediaries regulated by the SFC and prepare the case in appeals to the Securities and Futures Appeals Tribunal.


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 30 April 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 : enf_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: 5 Feb 2021

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