Ref : SFC / SM / LIC / INT / 180413
This position will require the successful candidate to manage one of the teams within the Licensing Department that are responsible for licensing intermediaries in accordance with the provisions of the Securities and Futures Ordinance and the Commission’s codes, rules and guidelines.
The successful candidate will be expected to work independently, but will receive ongoing guidance and support from the Licensing Department’s Senior Director and Directors.
Key Responsibilities :
Supervising and managing a team responsible for the licensing of intermediaries, handling of conduct issues;
Working in close cooperation with other Associate Directors / Senior Managers to ensure that the functions of the Licensing Department are performed in a timely, proper and consistent manner;
Ensuring that matters giving rise to difficulty or potential difficulty are promptly identified and raised to an appropriate level for consideration;
Identifying areas in relation to which policy or reform initiatives are required and assisting in the formulation and implementation of appropriate policies or reforms;
Developing and maintaining constructive and harmonious relationships with market participants and colleagues within the Commission; and
Providing management solutions to enhance operational efficiency.
University degree and / or professional qualification preferably in Law, Accounting, Finance or Business;
At least 10 years of solid and relevant working experience;
Solid knowledge of the operations of the securities, futures and financial industries and associated market practices;
The ability to successfully lead a team of fellow professionals;
Good analytical, interpersonal and communication skills;
A strong sense of responsibility and impeccable integrity; and
Excellent command of spoken and written English and Chinese is required.