We are looking for bright, enthusiastic and determined professionals to join Intermediaries Supervision Department to support our supervisory work.
Duties & Responsibilities:
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 by way of off-site monitoring adopting a front-loaded and risk-based approach;
- Proactively monitor and identify market-wide, industry, product and 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.
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 / IT / Law / CFA / FRM / CISA; and at least 7 years of solid and relevant work experience.
- You should be familiar with the trading operations, business practices and compliance controls of licensed corporations.
- You should have sound knowledge of SFC rules and regulations (applicable to intermediaries) and market practices.
- You must be assertive and an active team player with 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 14 October 2022 with details of qualifications, previous experience, current and expected salary to:
Securities & Futures Commission
54/F, One Island East
18 Westlands Road, Quarry Bay, Hong Kong
(E-mail address : firstname.lastname@example.org)
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: 30 Sep 2022