Senior Manager – Intermediaries (Licensing)

Ref.: SFC/SM/INT/LIC/260430

Reporting to one of the Directors within the Intermediaries Division (Licensing), the successful candidate of the post is expected to independently manage one of our teams that are responsible for licensing intermediaries in accordance with the provisions of the Securities and Futures Ordinance and the Commission’s codes and rules. He or she will also have the opportunities to contribute to licensing-related policy and other regulatory initiatives.

Duties & Responsibilities:

Supervising and managing a team responsible for the licensing of intermediaries and individual licensees, handling of their fit and proper issues;
Ensuring that licensing applications are handled and processed in accordance with the Securities and Futures Ordinance and relevant rules, codes and guidelines;
Working in close cooperation with other team heads to ensure that our functions are performed in a consistent, efficient and transparent manner;
Ensuring that matters with potential regulatory issues are promptly identified and raised to an appropriate level for consideration;
Identifying areas where policy or reform initiatives are required and assisting in the formulation and implementation of appropriate policies or reforms;
Providing management solutions to enhance our operational efficiency, effectiveness and transparency; and
Cultivating and maintaining constructive relationships with market participants and colleagues within the Commission.

Requirements:

University degree and/or professional qualification preferably in Accounting, Business, Finance or Law;
At least 8 years of relevant working experience;
Solid knowledge of the operations of financial markets and regulation of licensed intermediaries;
Proven skills and experience in leading a small group of staff;
Able to work independently and make sound judgements;
A strong sense of responsibility and integrity;
Strong analytical, interpersonal and communication skills; and
Excellent command of spoken and written English and Chinese is required. Proficiency in Putonghua is an advantage.

Please quote the reference and apply by 15 May 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 : lic_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: 30 Apr 2026