Ref.: SFC/M/IS/GC/INT/241018
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 intermediaries’ business conduct, financial soundness and compliance with relevant regulatory requirements by way of off-site monitoring;
- Identify and assess regulatory breaches by intermediaries, and handle complaints against intermediaries;
- Proactively identify market-wide, industry, product and firm-specific issues and assess their impact on intermediaries;
- Recommend and take swift actions against deficiencies and non-compliances identified; and
- Track international regulatory developments and support the Department to implement new policy initiatives and local regulatory reform.
Requirements:
- You should have a university degree and / or professional qualification in Accounting, Economics, Finance, IT, Law, CFA, or FRM; and at least 5 years of solid and relevant work experience in the financial services sector.
- You should have sound knowledge of SFC rules and regulations (applicable to intermediaries) and market practices.
- Excellent command of written and spoken English and Chinese is required, and proficient Putonghua for business communication is a must.
- You must be assertive and an active team player with strong analytical, interpersonal and communication skills, and be able to work independently and cope with pressure.
- A strong sense of responsibility and impeccable integrity is essential.
Please quote the reference and apply by 1 November 2024 with details of qualifications, previous experience, current and expected salary to:
Recruitment Manager
麻豆传媒 & 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: 18 Oct 2024