Investigation Manager, Intermediary Misconduct

Securities and Futures Commission

Hong Kong

On-site

HKD 900,000 - 1,200,000

Full time

13 days ago

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Job summary

The Securities & Futures Commission in Hong Kong seeks a Manager in the Enforcement Division to lead investigations into intermediary misconduct, unlicensed activities, VA-related contraventions and investment-offer matters.

You will gather and review documentary and digital evidence, assess potential breaches of the SFO and AML/CFT regimes, and prepare findings and recommendations for senior management, while collaborating with legal professionals to advance cases and leveraging data

Qualifications

A university degree is required.
At least 5 years of relevant professional experience, preferably in investigation or law enforcement.
Good analytical and problem-solving skills.
Strong command of written and spoken English and Chinese.
Excellent communication skills and ability to collaborate effectively as part of a team.

Responsibilities

Conduct investigations into intermediary misconduct, unlicensed activities, VA-related contraventions and investment-offer matters.
Gather, review and analyse documentary, digital and other evidence.
Identify and assess potential breaches of the SFO, AML/CFT Ordinance and other regulatory requirements.
Prepare findings, analyses and recommendations for senior management.
Work with internal legal professionals in preparing cases for criminal, civil or disciplinary proceedings.
Contribute to effective case management, including use of technology, data analytics or AI-enabled tools.