Ref.: SDSFC
Duties & Responsibilities:
- To direct the Intermediaries Misconduct Team in accordance with the objectives and the priorities of the SFC and the Enforcement Division.
- To provide leadership, guidance and on-going training to staff of the Intermediaries Misconduct Team.
- To oversee the investigation and disciplinary functions of the Intermediaries Misconduct Team including:
- leading a team of investigators partnering with professionals including accountants, lawyers and market specialists, undertaking forensic inquiries and investigations, analyzing evidence and making decisions concerning possible breaches of the Securities and Futures Ordinance and misconduct of intermediaries; and
- leading the conduct of disciplinary proceedings against intermediaries regulated by the SFC and the preparation of cases in appeals to the Securities and Futures Appeals Tribunal.
- To act as a decision-maker on appropriate cases and to participate in the management of the Enforcement Division.
- To provide advice and assistance to other divisions on related investigations and to participate in policy formulation.
You are expected to participate in high-level strategic decision-making in major policy issues and decisions affecting the Enforcement Division. You will also be expected to maintain a close working relationship with other divisions/departments within the SFC and other regulatory bodies.
Requirements:
To be successful in this role, you must have:
- a university degree in Law with at least 15 years of solid experience in law enforcement, dispute resolution or litigation.
- In-depth knowledge of the operation of the financial markets and financial services industry, plus substantial experience in the following areas:
- investigation and disciplinary work in a relevant sector including regulatory bodies; and
- securities, futures and leveraged foreign exchange markets.
- Excellent analytical, interpersonal, presentation, written and communication skills.
- Ability to lead a large, multi-disciplinary team.
- A strong sense of responsibility and impeccable integrity.
- Excellent command of written and spoken English. Proficiency in Chinese language would be an advantage.
Please quote the reference SDSFC and apply by 23 June 2023 with details of qualifications, previous experience, current and expected salary to:
Mr Robert Speers, Heidrick & Struggles,
Suite 3005, One Pacific Place, 88 Queensway, Hong Kong ;
or by email to: sfc@heidrick.com
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 weeks 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: 9 Jun 2023