Ref.: SFC/TSM/M/INT/IST/260112
Intermediaries Division is currently seeking legal professionals with solid capital markets experience and/or sound knowledge of the securities law join its Sponsor Team and support onsite supervision work.
You will be part of a team to supervise intermediaries, with a particular focus on the conduct of sponsors, corporate finance advisors and capital market intermediaries.
Duties & Responsibilities:
Your primary 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.
Requirements:
- At least 8 years of post-qualification experience in legal practice and a focus on or significant exposure to 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 as well as ability to cope with a variety of tasks
- Proven track record of strong leadership and ability to work with different team mix
- 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.
Applicants with less experience can be considered for the position of Manager.
Please quote the reference and apply by 23 January 2026 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 : is_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: 13 Jan 2026