Manager / Assistant Manager - Intermediaries (On-site Supervision)
2 days ago
Manager / Assistant Manager - Intermediaries (On-site Supervision) Add expected salary to your profile for insights We are looking for bright, enthusiastic and determined professionals to join our Intermediaries Supervision Department, Intermediaries. The Department is responsible for supervising intermediaries engaged in a wide spectrum of activities, including investment banks, securities/ futures brokers, investment advisers, fund managers, corporate finance advisers, sponsors and credit rating agencies. Our supervisory role is essential in upholding industry standards and enhancing investor protection. With a team of dynamic professionals, our work mainly involves: Policy setting and issuing codes and guidelines to inform the industry of our expectations; Reviewing intermediaries’ financial soundness and compliance with relevant rules and regulations by way of on‑site inspections; Analyzing industry and firm‑specific data and depicting industry trends; Taking prompt actions against deficiencies and non‑compliances identified. By joining us, you will embark on a challenging and rewarding career and be able to gain valuable insight into the different financial services currently offered in Hong Kong. Duties & Responsibilities Supervising intermediaries’ business conduct and compliance with relevant regulatory requirements; Identifying firm‑specific issues with respect to business practices, supervisory controls, compliance and operational controls; Recommending and taking swift actions against deficiencies and non‑compliances identified; Identifying trends in market practices and potential risk areas for policy deliberations; Providing support to the Division on regulatory policy development projects, including conducting research. Requirements University degree and/or professional qualification (Accounting / Economics / Finance / IT / Law / CFA / FRM / CISA); At least five years of solid and relevant work experience (e.g., risk management, operational control, compliance or internal audit department of financial institutions, external audit or forensic account functions, or work in any local or overseas regulator); Sound knowledge of SFC rules and regulations (applicable to intermediaries) and market practices; Assertive, active team player with strong analytical, interpersonal and communication skills, able to work independently and cope with pressure; Excellent command of spoken and written English and Chinese; proficiency in Mandarin is an advantage; Strong sense of responsibility and impeccable integrity. Candidates with less experience may be considered for the position of Assistant Managers. Please quote the reference and apply by 28 November 2025 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 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. #J-18808-Ljbffr
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hong kong, Hong Kong SAR China Securities and Futures Commission (SFC) Full timeManager - Intermediaries (Off-site Supervision) We are looking for a bright, enthusiastic and determined professional to join the Intermediaries Division to support our supervisory work. Duties & Responsibilities Supervising the licensed firms’ business conduct and compliance with relevant regulatory requirements by way of off-site monitoring; Proactively...
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hong kong, Hong Kong SAR China Securities and Futures Commission (SFC) Full timeIntermediaries Supervision Department is looking for a high calibre candidate to join as a Manager to support its supervisory work. Reporting to a Senior Manager, you will be part of a team to supervise intermediaries with a focus on their business conduct, financial and operational risks. Duties & Responsibilities Supervise intermediaries’ business...
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hong kong, Hong Kong SAR China Securities and Futures Commission Full timeIntermediaries Supervision Department is looking for a high calibre candidate to join as a Manager to support its supervisory work. Reporting to a Senior Manager, you will be part of a team to supervise intermediaries with a focus on their business conduct, financial and operational risks. Duties & Responsibilities: Supervise intermediaries’ business...
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hong kong, Hong Kong SAR China Securities and Futures Commission Full timeRef.: SFC/M/IS/INT/ Intermediaries Supervision Department is looking for a high calibre candidate to join as a Manager to support its supervisory work. Reporting to a Senior Manager, you will be part of a team to supervise intermediaries with a focus on their business conduct, financial and operational risks. Duties & Responsibilities: Supervise...
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Off-Site Intermediaries Compliance Manager
2 days ago
hong kong, Hong Kong SAR China Securities and Futures Commission (SFC) Full timeA regulatory authority in finance is seeking a Manager for Intermediaries to oversee compliance and market practices through off-site supervision. The ideal candidate will have over 7 years of relevant experience and a degree in fields like Accounting or Finance. Responsibilities include monitoring licensed firms and recommending actions for deficiencies....
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Off-Site Supervisory Manager
2 days ago
hong kong, Hong Kong SAR China Securities and Futures Commission Full timeA financial regulatory authority in Hong Kong is seeking a Manager for its Intermediaries Division. The successful candidate will supervise licensed firms' conduct through off-site monitoring and ensure compliance with regulations. This role demands at least 7 years of relevant experience and a university degree in a related field. Proficiency in English and...
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hong kong, Hong Kong SAR China Securities and Futures Commission Full timeA leading financial regulatory authority in Hong Kong seeks an experienced Manager to supervise intermediaries' business conduct and ensure compliance with regulatory standards. The ideal candidate will have a relevant university degree and at least 5 years of experience in the financial services sector. Proficiency in written and spoken English and Chinese,...
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Manager – Intermediaries
2 days ago
hong kong, Hong Kong SAR China Securities and Futures Commission Full timeActing as the gatekeeper for the securities and futures industry in Hong Kong, the Commission’s Intermediaries Division is responsible for licensing intermediaries and ensuring that only fit and proper individuals and corporations are permitted to carry on the business activities that are regulated by the Commission under the Securities and Futures...
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Intermediaries Compliance
2 days ago
hong kong, Hong Kong SAR China Securities and Futures Commission (SFC) Full timeA financial regulatory body in Hong Kong is seeking an experienced Manager for the Intermediaries Supervision Department. The ideal candidate will supervise intermediaries’ conduct and compliance with financial regulations. A university degree in relevant fields and at least 5 years of experience in financial services are required. Fluency in English and...
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Intermediaries Oversight
2 days ago
hong kong, Hong Kong SAR China Securities and Futures Commission Full timeA financial regulatory authority in Hong Kong seeks a Manager for the Intermediaries Supervision Department to oversee intermediaries' compliance and business conduct. Candidates must have a relevant university degree and at least 5 years of experience in the financial services sector. Proficiency in English, Chinese, and Putonghua is essential. This...
