Temporary Manager (2-Year Contract) - Enforcement (Investigation - Intermediary Misconduct Team)

Ref.: SFC/TM/ENF/IMT/220715

Duties & Responsibilities:

We are now seeking a candidate for a Temporary Manager position (2 years contract) in the Enforcement Division. As a successful candidate for the role, you will be responsible for undertaking investigations concerning possible breaches of the Securities and Futures Ordinance and misconduct of intermediaries, making recommendations to senior management, and preparing criminal, civil or disciplinary proceedings before Hong Kong’s courts and tribunals.

Enforcement staff in the Intermediary Misconduct Team focus on cases involving:

  • possible unlicensed dealing in regulated activities, unauthorized marketing activities relating to investments, or mis-selling of investment products; and
  • possible misconduct of licensed corporations, registered institutions and/or their connected persons.

Requirements:

Successful candidate should have a relevant degree and preferably with professional qualifications in Law or Accounting and/or relevant experience of at least 5 years in investigation, litigation, law enforcement, forensic accounting or dispute resolution. Knowledge on the operations of the securities market, financial or investment industry is a plus.

Candidate for the position should have excellent Chinese and English, competent analytical and computer skills and be able to explain complex issues simply. Putonghua is an advantage. Given SFC’s role, you must be a responsible and ethical person.

Please quote the reference and apply by 7 October 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.

We are an EQUAL OPPORTUNITY EMPLOYER.

 

Last update: 23 Sep 2022

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