Management Associate, Intermediaries Supervision, Intermediaries

Ref.: SFC/MA/INT/IS/210521

We are looking for bright, enthusiastic and determined young recruits to join our Intermediaries Supervision Department. The Department is responsible for supervising intermediaries engaged in a wide spectrum of activities, including investment banks, securities/ futures brokers, advisers, fund managers and financial advisers. By joining us, you will embark on a challenging and rewarding career and be able to gain valuable insight into the different financial services currently offered in Hong Kong.

Our supervisory role is essential in upholding industry standards and enhancing investor protection. The successful candidate will work with a team of dynamic professionals and assist our supervisory work which mainly involves:

  • Reviewing intermediaries’ business conduct and compliance with relevant rules and regulations by way of on-site inspections;
  • Identifying firm-specific issues with respect to business practices, supervisory controls, compliance and operational controls;
  • Recommending and taking swift actions against deficiencies and non-compliances identified;
  • Assisting in conducting research on international regulatory and market developments.

To be successful in this role:

  • You should have a university degree and/or professional qualification, i.e. in the area of Accounting / Economics / Finance / IT / Law / CFA / FRM / CISA;
  • 1 to 3 years of experience in financial services or related industries preferred. Recent university graduates of exceptional qualities will also be considered;
  • You must be assertive and an active team player with good analytical, interpersonal and communication skills;
  • Excellent command of spoken and written English and Chinese is required. Proficiency in Putonghua will be an advantage; and
  • A strong sense of responsibility and impeccable integrity is essential.

Please quote the reference and apply by 4 June 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: 21 May 2021

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