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Assistant Manager - Investment Products

Ref.: SFC/AM/IP/210723

Duties & Responsibilities:

The Investment Products Division maintains a robust regulatory regime for, and performs gate-keeping functions in authorising, investment products offered to the public in Hong Kong. We monitor our authorised and registered investment products’ compliance with the requirements in our codes. We also formulate policies relating to the regulation of the asset management industry and pursue initiatives that facilitate market growth and product innovation with the overall goal to develop Hong Kong as a full-service international asset management centre and preferred fund domicile.

If you see yourself possessing the qualities to serve the Hong Kong market as a securities regulator, and being part of our expanding team, we invite you to join us as an Assistant Manager in our Investment Products Division.

The successful candidate will be responsible for a combination of regulatory work, including the processing of applications for authorisation of retail investment products, their offer documents and marketing materials in accordance with SFC product codes; gathering, analysing and monitoring investment products data; providing assistance to policy-oriented research and comparative studies on international regulation of investment products; assisting in policy projects involving preparation of codes and guidelines; providing support in relevant legislative processes as well as assisting with liaisons with internal and external stakeholders.


To be successful in this role, you should have a university degree in Law/Economic/Accounting/Finance, preferably with a minimum of three years of solid and relevant work experience in the financial services or related industries. Exposure gained in regulatory bodies, asset managers or multinational audit or law firms is preferable. Experience in IPO or corporate finance related work, listed company audits and good knowledge of the Listing Rules will be a plus. You should have excellent analytical, numerical, writing, presentation and interpersonal skills, and ability to work under pressure and meet deadlines. An excellent command of spoken and written English and Chinese is required, with proficiency in Putonghua a plus.

Please quote the reference and apply by 7 January 2022 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 : ip_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: 23 Jul 2021

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