Manager - Intermediaries Supervision (Sponsor Team), Intermediaries

Ref.: SFC/MGR/IS/ST/INT/220318

We are looking for bright, enthusiastic and determined professionals 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, investment advisers, fund managers, corporate finance advisers, sponsors and credit rating agencies.

Duties & Responsibilities:

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 depicting 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 currently offered in Hong Kong.

As part of a team led by an Associate Director/Senior Manager, your responsibilities include:

  • Supervising intermediaries’ business conduct and compliance with relevant regulatory requirements with a specific focus on sponsor, bookbuilding and placing, corporate finance and other fund raising related activities;
  • 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;
  • Identifying trends in market practices and potential risk areas for policy deliberations; and
  • Providing support to the Department on regulatory policy development projects, including conducting research.

Requirements:

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 / Law; and at least five years of solid and relevant work experience in respect of listing applications and other corporate finance or fund raising processes.
  • Working knowledge of SFC rules and regulations (applicable to intermediaries) and market practices. Familiarity with Listing Rules or experience with listing application or listed company activities will be a definite advantage.
  • Excellent planning and origination skills and proven track record of strong leadership and problem solving skills.
  • Strong analytical, interpersonal and communication skills, and be able to work independently and cope with pressure.
  • Excellent command of spoken and written English and Chinese is required. Proficiency in Putonghua will be an advantage.A strong sense of responsibility and impeccable integrity is essential.

Please quote the reference and apply by 15 April 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 : 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.

We are an EQUAL OPPORTUNITY EMPLOYER.


Last update: 1 Apr 2022

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