Ref.: SCMP/SM/IS/INT/190910

Intermediaries Supervision Department is currently looking for a high calibre candidate to join as Senior Manager to support its supervision of licensed intermediaries and policy projects.

Reporting to Director, the successful candidate will lead a team of professionals to carry out a variety of challenging functions. The focuses of the team will include:

• supervise business conduct and financial soundness of licensed corporations with a focus on SME brokers and Mainland financial groups’ licensed subsidiaries, including
  - conduct inquisitive reviews on investor complaints and breach reports
  - constantly look for suspicious or irregular practices and initiate supervisory actions to assess conduct and compliance
  - perform financial reviews to assess prudential risks
  - tailor-make proportionate supervisory responses to further investor protection and combat misconduct
• lead ad hoc policy projects, compile policy papers and related consultation documents
• communicate with stakeholders and peer agencies to foster professional relationships and cooperation

To be successful in this role, the ideal candidate should have:

• Strong sense of mission and impeccable integrity
• Lateral thinking
• Excellent enquiry and analytical skills
• Proven people management and coaching experience
• Strong command of written and spoken English, proficient Putonghua for general business communication use
• Professional accounting qualification. Additional legal background (e.g. a law degree) or risk management expertise an advantage
• At least 10 years’ working experience in securities intermediaries supervision/compliance/operational risk consulting

Please quote the reference and apply by 27 September 2019 with details of qualifications, previous experience, current and expected salary to:

Recruitment Manager

Securities & Futures Commission

35/F, Cheung Kong Center

2 Queen's Road Central, Hong Kong

(E-mail address : 立即申請)

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.