Senior Manager - Licensing, Intermediaries

Ref.: SFC/SM/LIC/INT/210419

The successful candidate of this post will report to the Department Head and one of the Directors within the Department. He or she is expected to independently manage one of our teams that are responsible for licensing intermediaries in accordance with the provisions of the Securities and Futures Ordinance and the Commission’s codes and rules. He or she will also have the opportunities to contribute to licensing-related policy or operational initiatives.

Duties & Responsibilities:

  • Supervising and managing a team responsible for the licensing of intermediaries and individual licensees, handling of their fit and proper issues;
  • Working in close cooperation with other team heads to ensure that the functions of the Licensing Department are performed in a consistent, efficient and transparent manner;
  • Ensuring that matters with potential regulatory issues are promptly identified and raised to an appropriate level for consideration;
  • Identifying areas in relation to which policy or reform initiatives are required and assisting in the formulation and implementation of appropriate policies or reforms;
  • Providing management solutions to enhance our operational efficiency, effectiveness and transparency; and
  • Cultivating and maintaining constructive relationships with market participants and colleagues within the Commission.


  • University degree and/or professional qualification preferably in Accounting, Business, Finance or Law;
  • At least 8 years of relevant working experience;
  • Solid knowledge of the operations of financial markets and regulation of licensed intermediaries;
  • Proven skills and experience of leading a small group of staff;
  • Able to work independently and make sensible judgements;
  • A strong sense of responsibility and integrity;
  • Strong analytical, interpersonal and communication skills; and
  • Excellent command of spoken and written English and Chinese is required. Proficiency in Putonghua is an advantage.

Please quote the reference and apply by 7 May 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 :

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: 19 Apr 2021

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