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Assistant Manager - Enforcement (Investigation - Intermediary Misconduct Team)

Ref.: SFC/AMGR/ENF/IMT/210916

Duties & Responsibilities:

Enforcement staff work in teams of market experts, investigators, accountants and lawyers to detect and investigate suspected market and listed company crime and intermediary misconduct and to conduct and support resulting enforcement proceedings.

Enforcement staff in the Intermediary Misconduct Team focus on:

  • detecting and analysing possible unlicensed dealing in regulated activities, etc. through intelligence gathering and investigation;
  • examining intermediary misconduct by interviewing targets and witnesses, gathering documents, assessing compliance and analysing evidence; and
  • preparing cases for criminal, civil or disciplinary proceedings before Hong Kong’s courts and tribunals


Ideal candidates should have at least 3 years of working experience. The successful candidate must have a good working knowledge of the securities market and financial services industry and a determined and inquisitive nature. You should have a relevant degree and some experience in the securities and/or futures markets, investigation, law enforcement, intermediary compliance, regulation, litigation or be a person with a tangible interest in SFC investigation and enforcement work and the ability to develop the relevant skills quickly. Previous working experience in legal and compliance in securities or financial industries, or in law enforcement agencies is a plus.

Candidates for the position should have excellent command of Chinese and English, competent analytical and computer skills and be able to explain complex issues simply. Putonghua is an advantage.

Please quote the reference and apply by 31 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 : 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: 16 Sep 2021

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