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6. Senior Manager - Enforcement (Discipline - Intermediary Misconduct Team)

Ref.: SFC/SM/ENF/IMT/250103

Duties & Responsibilities:

We are now seeking a candidate for a Senior Manager position in the disciplinary function of the Intermediary Misconduct Team of the Enforcement Division. If chosen, you will work in a multi-disciplinary team, partnering with professional investigators, accountants, lawyers and market specialists, providing strategic and legal advice in investigations, reviewing and assessing evidence gathered for potential enforcement actions including disciplinary actions. You will need to conduct disciplinary proceedings against intermediaries regulated by the SFC and prepare the case in appeals to the Securities and Futures Appeals Tribunal. You will also be required to help develop policies on enforcement issues.

Requirements:

Ideal candidates should possess a university degree in Law with at least 5 years of solid experience in law enforcement, dispute resolution or litigation, and sound knowledge of the regulation and operations of the securities and futures market and financial services industry. Excellent analytical skills and command of written and spoken English and Chinese, including the ability to communicate effectively and articulate complex facts and allegations clearly, are essential. You should also have strong leadership and management skills. Knowledge of Mandarin will be a plus.

Please quote the reference and apply by 17 January 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
(E-mail address : enf_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: 6 Jan 2025