Manager (Off-site monitoring, Global Institutions)

Ref.: SFC/M/OSMGIG/INT/251017

Intermediaries Division is looking for a high calibre candidate to join as a Manager to support its supervisory work.

Duties & Responsibilities:

Reporting to the Associate Director / Senior Manager, you will be responsible for:

• Supervising the business conduct, financial soundness and regulatory compliance of intermediaries (with a focus on large global financial institutions), primarily by way of off-site monitoring;


• Identifying and assessing regulatory breaches by intermediaries, and handling complaints against intermediaries;


• Proactively monitoring and identifying market-wide, industry, product and firm-specific issues and assessing their impact on intermediaries;


• Recommending and taking swift actions in relation to regulatory concerns and internal control deficiencies that have been identified; and


• Tracking international regulatory developments and supporting the Division to implement new policy initiatives and local regulatory reforms.

Requirements:

• You should have a university degree and/or professional qualification in Accounting, Economics, Finance, IT, Law, CFA, or FRM; and at least 7 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.
  
  Experience with trade operations, risk management and compliance controls in large global financial institutions will be required.


• Excellent command of written and spoken English and Chinese is required.
  
  Proficiency in Putonghua will be an advantage.


• 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.