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6. Assistant Manager – Intermediaries (Off-site Monitoring, Global Institutions)

Ref.: SFC/AM/INT/IS/OFSGI/260807

Duties & Responsibilities:  

• Apply an outcome and risk-based approach in the supervision of designated intermediaries, with a focus on investment banks and global financial institutions, and assess their business conduct, financial and operational risks.

• Monitor and review intermediaries’ business activities, financial soundness and compliance with relevant rules and regulations through off-site monitoring.

• Work closely with other divisions within the Commission on supervision, fit and proper and firm-specific matters relating to major global financial institutions.

• Identify, analyse and escalate market-wide, product and firm-specific issues relating to business practices, compliance, and supervisory and operational controls.

• Assist in formulating and implementing appropriate supervisory responses to address identified risks, control weaknesses and conduct concerns.

• Contribute to thematic reviews, industry studies and cross-functional/divisional initiatives relating to the supervision of global financial institutions.

• Monitor international regulatory developments and support the Division’s implementation of global policy initiatives and local regulatory reforms.

• Contribute to the continuous enhancement of supervisory practices and support team initiatives as required.

Requirements:

• Strong finance knowledge supported by a relevant university degree and/or professional qualifications (such as CFA, FRM).

• A minimum of 5 years of relevant work experience, preferably in financial services, regulation, risk management, compliance, audit or related fields.

• Good understanding of the regulatory environment, business models, governance frameworks, risk management practices and control environment of investment banks and other major financial institutions.

• Strong analytical and problem-solving skills.

• Strong interpersonal and communication skills with an excellent command of spoken and written English and Chinese.

• Ability to analyse issues, exercise sound judgement and develop practical, risk-based recommendations.

• Well organised and able to manage multiple assignments and priorities effectively.

• A strong sense of responsibility and impeccable integrity.

Please quote the reference and apply by 21 August 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: 24 Jul 2026