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

Ref.: SFC/M/IS/INT/INSST/220429

We are currently looking for a legal professional who has capital markets experience and/or sound knowledge of the securities law to join as a 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:

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

  • Conducting on-site inspections on licensed corporations engaging in a broad range of regulated activities, 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;
  • Assisting in researching international regulatory developments; and
  • Involving in formulating regulatory policies and drafting policy papers.


To be successful in this role, you should have:

  • A relevant university degree with at least 5 years of solid and relevant work experience in legal and/or regulatory matters in respect of listing applications and other corporate finance or fund raising processes.
  • Working knowledge of SFC rules and regulations (applicable to intermediaries). Familiarity with the Listing Rules or experience with listing application or listed company activities will be a definite advantage.
  • Excellent planning and organisation skills and proven track record of strong leadership and problem solving skills.
  • Strong analytical, interpersonal and communication 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 27 May 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 :

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: 13 May 2022

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