Manager (Investigation - Intermediary Misconduct Team)
Securities and Futures Commission
Central, Hong Kong

Ref. : SFC / MGR / ENF / IM / 180803

The SFC is a world recognised regulator. Its Enforcement Division works on often cutting edge market and listed company crime and intermediary misconduct cases that are intellectually challenging and crucial to Hong Kong’s status as an international financial centre.

We are now seeking candidates for the Manager / Assistant Manager position in the Enforcement Division (Intermediary Misconduct Team).

Enforcement staff work in teams of market experts, investigators, accountants and lawyers to detect and investigate suspected market and listed company crime and intermediary misconduct and to conduct and support resulting enforcement proceedings.

Enforcement staff in Intermediary Misconduct Team can be involved in :

  • detecting and analysing possible unlicensed dealing in regulated activities, etc. through intelligence gathering and investigation;
  • examining intermediary misconduct by interviewing targets and witnesses, gathering documents, assessing compliance and analysing evidence;
  • preparing cases for criminal, civil or disciplinary proceedings before Hong Kong’s courts and tribunals.
  • Successful candidate must have a good working knowledge of market dynamics and a determined and inquisitive nature. You should have a relevant degree and experience in the securities and / or futures markets, law enforcement, intermediary compliance, regulation, litigation or be a person with a tangible interest in SFC investigation and enforcement work and the ability to develop the relevant skills quickly.

    Previous working experience on legal and compliance in securities or financial industries is a plus.

    Candidate for the position should have excellent Chinese and English, competent analytical and computer skills and be able to explain complex issues simply.

    Putonghua is an advantage. Given SFC’s role, you must be a responsible and ethical person.

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