Manager - Enforcement (Investigation - IMT) [Ref.: SFC/M/ENF/INVIMT/261002]

Securities and Futures Commission; Hong Kong; In loco; HKD 900.000 - 1.200.000; Tempo pieno

Descrizione del lavoro

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

Competenze

• 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.

Mansioni

• 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.

Conoscenze

Analytical thinking

English & Chinese proficiency

Communication skills

Team collaboration

Formazione

University degree

Descrizione del lavoro

The Enforcement Division is seeking suitable candidates for the position of Manager in the Intermediary Misconduct Team (Investigation).

The successful candidate will be part of a team responsible for investigating misconduct by persons regulated by the SFC, unlicensed activities, contraventions relating to virtual assets (VA), and improper offers of investments. The role offers valuable experience in enforcement investigations and provides opportunities to develop investigative, analytical and case management skills.

Duties & Responsibilities:

• conduct investigations into intermediary misconduct, unlicensed activities, VA-related contraventions and investment-offer matters;
• gather,reviewandanalysedocumentary,digitaland other evidence;
• identifyand assess potential breaches of the Securities and Futures Ordinance, the Anti-Money Laundering and Counter-Terrorist Financing Ordinance, and other relevant regulatory requirements;
• prepare findings,analysesand recommendations for consideration by senior management;
• work closely with internal legal professionals in preparing cases for criminal,civilor disciplinary proceedings; and
• contribute to the effective and efficient case management, including through the appropriate useof technology, dataanalyticsor AI-enabled tools.

Requirements:

Candidates should possess:

• a university degree;
• at least 5 years of relevant professional experience, preferably experience in investigation or law enforcement;
• good analyticaland problem-solving skills;
• a good command of written and spoken English and Chinese; and
• good communicationskills and the ability to collaborate effectively as part of a team.

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.

Recruitment Manager
Securities & Futures Commission
54/F, One Island East,
18 Westlands Road, Quarry Bay, Hong Kong
(E-mail address : @sfc.hk)

The Securities and Futures Commission (SFC) is the independent

statutory body regulating the securities and futures markets in Hong Kong.

We are committed to protecting the integrity and soundness of the market

for the benefit of investors and the industry.

Working for a globally respected regulator provides unique opportunities to

serve the public and advance Hong Kong’s position as an international

financial centre. Join us to achieve greater things in your career.

The Securities and Futures Commission (SFC) is the independent

statutory body regulating the securities and futures markets in Hong Kong.

We are committed to protecting the integrity and soundness of the market

for the benefit of investors and the industry.

Working for a globally respected regulator provides unique opportunities to

serve the public and advance Hong Kong’s position as an international

financial centre. Join us to achieve greater things in your career.