Senior Manager - Enforcement (Investigation - Market Misconduct Team)

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

Benefits offered by this job

Equal opportunity employer

Job summary

The Securities and Futures Commission (SFC) in Hong Kong is seeking a Senior Manager for the Enforcement Division, Investigation – Market Misconduct Team. The role involves leading teams of investigators and lawyers to detect, investigate, and prepare cases against market misconduct and intermediary breaches.

You will gather background information, conduct fund tracing analyses, coordinate searches, interview suspects, and prepare succinct reports for management and for criminal or civil

Qualifications

• Good working knowledge of market dynamics.
• Strong leadership and supervisory skills.
• Competent analytical skills and the ability to communicate complex issues simply.

Responsibilities

• Lead investigations into market misconduct and intermediary misconduct cases.
• Gather background information and conduct fund tracing analyses for searches.
• Conduct search operations on premises related to suspects and interview involved parties.
• Prepare succinct management reports and build cases for criminal or civil proceedings in Hong Kong courts.

Skills

Market dynamics knowledge

Leadership

Analytical skills

Communication skills

Bilingual English/Chinese

Education

Relevant degree

Professional qualifications in Law or Accounting

Job description

Senior Manager - Enforcement (Investigation - Market Misconduct Team)

Duties & Responsibilities: We are now seeking candidates for the Senior Manager position in the Enforcement Division (Investigation - Market Misconduct Team). This is an excellent opportunity for you to join our team of professionals in the Enforcement Division of the SFC. The Enforcement Division investigates and combats market and listed company crimes and investigates intermediary misconduct cases. These investigations are intellectually challenging and crucial to Hong Kong’s status as an international financial centre. The candidate will work in teams of market experts, investigators and lawyers to detect and investigate suspected market misconduct and to support resulting enforcement proceedings. Specifically, he will be responsible for: gathering background information and conducting fund tracing analysis for preparing search operation conducting search operation on the premises relating to the suspects interviewing suspects and parties involved in the suspected misconduct analysis evidence obtained and preparing succinct report to the management preparing cases for criminal or civil proceedings before Hong Kong’s courts and tribunals.

Requirements

The successful candidate must have a good working knowledge of market dynamics and a determined and inquisitive nature. He or she should have a relevant degree and preferably with professional qualifications in Law or Accounting. An ideal candidate should have at least eight years of working experience in securities firms, investment banks, corporate advisers, law enforcement agents, professional law or accounting firms with a tangible interest in SFC investigation and enforcement work and the ability to develop the relevant skills quickly. Excellent command of written and spoken English and Chinese, strong leadership and supervisory skills, competent analytical skills and the ability to communicate effectively and articulate complex issues simply is essential. Putonghua is also an advantage.

We are an EQUAL OPPORTUNITY EMPLOYER.

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.