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Manager - Enforcement (Discipline - Intermediary Misconduct Team)

Ref.: SFC/M/ENF/DISIMT/220503

Duties & Responsibilities:

We are seeking a candidate for a Manager position in the Intermediary Misconduct Team of the Enforcement Division.  If chosen, you will work in a multi-disciplinary team, partnering with professional investigators, accountants, lawyers and market specialists, providing strategic and legal advice in investigations, reviewing and assessing evidence gathered for potential enforcement actions including disciplinary actions.  You will also need to conduct disciplinary proceedings against intermediaries regulated by the SFC and prepare the case in appeals to the Securities and Futures Appeals Tribunal.


Ideal candidates should possess a university degree in Law with at least 3 years of solid experience in law enforcement, dispute resolution or litigation.  You should have strong analytical skills and the ability to articulate facts and allegations clearly. You should be a team player and good communicator with excellent command of written and spoken English and Chinese.  Knowledge of Mandarin will be a plus.  Familiarity with the securities and futures markets, financial services industry is a strong advantage. 

Please quote the reference and apply by 8 July 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 : 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: 24 Jun 2022

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