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Senior Manager (Inspection - Sponsor Team) - Intermediaries Supervision, Intermediaries

Ref.: SFC/SM/IS/INS/ST/210917

We are currently looking for a professional who has sound market and regulatory knowledge with practical experience in the securities sector to join as a Senior Manager I/II of the Intermediaries Supervision Department (Sponsor Team) of our Intermediaries Division.

The Department is responsible for supervising intermediaries engaged in a wide spectrum of activities, including investment banks, securities/ futures brokers, investment advisers, fund managers, corporate finance advisers, sponsors and credit rating agencies.

Our supervisory role is essential in upholding industry standards and enhancing investor protection. With a team of dynamic professionals, our work mainly involves:

  • policy setting and issuing codes and guidelines to inform the industry of our expectations;
  • reviewing intermediaries’ financial soundness and compliance with relevant rules and regulations by way of off-site monitoring and on-site inspections;
  • analysing industry and firm-specific data and interpreting industry trends; and
  • taking prompt actions against deficiencies and non-compliances identified.

By joining us, you will embark on a challenging and rewarding career and be able to gain valuable insight into the different financial services in the securities sector in Hong Kong.

Duties & Responsibilities:

Reporting to Director, you will lead a team of professional staff to carry out a varied and challenging range of responsibilities which include:

  • Conducting on-site inspections on licensed corporations engaging in a broad range of regulated activities, with a specific focus on sponsor, corporate finance and other fund raising related activities; reviewing and assessing operational controls, risk management and regulatory compliance;
  • Formulating effective regulatory responses and policy initiatives to address key issues identified;
  • Tracking local and international regulatory developments, and supporting the Department on regulatory policy formulation;
  • Interacting dynamically with senior management of intermediaries, communicate our regulatory standards and policies to the market as well as building and maintaining close working relationship with other regulatory bodies and industry associations.



To be successful in this role, you should have:

  • A relevant university degree and/or professional qualification, i.e. in the area of Accounting / Economics / Finance / Law and at least 10 years of solid and relevant work experience with a sound and broad knowledge in respect of listing applications and other corporate finance or fund raising processes.
  • Sound knowledge of SFC rules and regulations (applicable to intermediaries). Familiarity with the Listing Rules and listing application process or fund raising market practices will be a definite advantage.
  • Excellent planning and organisation skills and proven track record of strong leadership and problem solving skills.
  • Strong interpersonal skills and an ability to build and maintain strong relationship with stakeholders.
  • Excellent command of spoken and written English and Chinese. Proficiency in Putonghua will be an advantage.
  • A strong sense of responsibility and impeccable integrity.

Please quote the reference and apply by 1 October 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 : is_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: 15 Sep 2021

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