Intermediaries Risk & Compliance Lead

Securities and Futures Commission (SFC); Hong Kong; On-site; HKD 1,200,000 - 1,800,000; Full time

Job summary

Securities and Futures Commission (SFC) in Hong Kong seeks a seasoned professional to supervise intermediaries across traditional financial sectors and fintech spaces, including digital assets. You will assess business conduct, resilience, and regulatory compliance, while identifying risks and proposing regulatory actions.

The role requires deep knowledge of markets, strong English and Chinese communication, and the ability to convey complex regulatory expectations clearly.

Qualifications

• 7+ years of solid work experience in top-tier global financial institutions in relation to financial or operational risk control.
• Experience in both sell-side and buy-side; digital asset or tokenisation is a plus.
• Good knowledge of financial markets and products.
• Ability to gather information through structured enquiries and identify control deficiencies.
• Ability to present complex cases clearly, in writing and verbally.
• Strong written and spoken English and Chinese; Putonghua preferred for business communication.

Responsibilities

• Monitor and supervise intermediaries’ business conduct, risk and regulatory compliance on an ongoing basis.
• Assess intermediaries’ financial and operational resilience and identify key risks and breaches.
• Assess virtual asset service providers’ business models and products as required.
• Communicate regulatory expectations and concerns professionally.
• Identify market-wide and industry-specific risk issues and propose regulatory responses.
• Track global and local policy developments to assess impact on intermediaries.

Skills

Regulatory risk

Communication skills

Regulatory reporting

English & Chinese proficiency

Putonghua (preferable)

Job description

Securities and Futures Commission (SFC) in Hong Kong seeks a seasoned professional to supervise intermediaries across traditional financial sectors and fintech spaces, including digital assets. You will assess business conduct, resilience, and regulatory compliance, while identifying risks and proposing regulatory actions.

The role requires deep knowledge of markets, strong English and Chinese communication, and the ability to convey complex regulatory expectations clearly.