Job ref no.: CT3114389-01#9650

Manager - Licensing, Intermediaries (Ref: /M/LIC/INT/1800601)

Securities and Futures Commission

Employer Ref: /M/LIC/INT/180601


Acting as the gatekeeper for the securities and futures industry in Hong Kong, the Commission’s Licensing Department is responsible for licensing intermediaries and ensuring that only fit and proper individuals and corporations are permitted to carry on the business activities that are regulated by the Commission under the Securities and Futures Ordinance.
The Commission invites applications from qualified candidates to join the Licensing Department as Manager. The successful candidates will be assigned to one of the licensing teams which is supervised by an Associate Director or a Senior Manager. 


Key Responsibilities:

  • Handling licensing applications and intermediary conduct issues, including contentious matters.
  • Interviewing applicants and licensees, and attending to inquiries concerning licensing matters.
  • Inquiring into complaints made against licensed persons.
  • Working in close cooperation with fellow team members and other colleagues in the Commission to ensure that the functions of the Licensing Department are performed in an appropriate manner.
  • Developing and maintaining constructive and harmonious relationships with market participants and colleagues within the Commission.
  • Identifying areas in which operational efficiency may be enhanced and the licensing process may be streamlined, and assisting in the implementation of such initiatives.



  • University degree and/or professional qualification preferably in Law, Accounting, Finance or Business.
  • A minimum of 2-3 years' post qualification experience or 5 years’ relevant working experience.
  • Preferably with knowledge of the operations of the securities, futures and financial industries and associated market practices. Good analytical, interpersonal and communications skills.
  • Hardworking, with a strong sense of responsibility and impeccable integrity.
  • Excellent writing and presentation skills are essential for the position.

Applicants with less experience may be considered for the position of Assistant Manager.


Please quote the reference and apply by 15 June 2018 with details of qualifications, previous experience, current and expected salary to:

Recruitment Manager
Securities & Futures Commission
35/F, Cheung Kong Center
2 Queen’s Road Central, Hong Kong

For online applications, please click Apply Now or visit,-intermediaries-180601.html

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.

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More job information
Job ref no. CT3114389-01#9650
  • N/A
Job Function
  • Central
Employment Term
  • Permanent
  • Full-time
  • 2 years - 3 years
Career Level
  • Middle management level
  • Diploma or equivalent
  • Asso. Deg or High Dip
  • Degree