Assistant Manager - Enforcement (Investigation - Corporate Misconduct Team)

Ref.: SFC/AM/INVCMT/ENF/250321

Duties & Responsibilities:

The SFC is a world recognised regulator. Its Enforcement Division works on often cutting edge market and listed company crime and intermediary misconduct cases that are intellectually challenging and crucial to Hong Kong’s status as an international financial centre. We are now seeking candidates for the Assistant Manager position in the Enforcement Division (Corporate Misconduct Team).

Enforcement staff work in teams of market experts, investigators, accountants and lawyers to detect and investigate suspected market and listed company crime and intermediary misconduct and to conduct and support resulting enforcement proceedings.

Enforcement staff in the Corporate Misconduct Team can be involved in:

• detecting fraud, misfeasance and other misconduct by listed companies and their management;
• investigating listed company fraud and misfeasance by interviewing targets and witnesses, gathering documents from listed companies and other related parties, assessing and analysing evidence;
• preparing cases for criminal or civil proceedings before Hong Kong’s courts and tribunals.

Requirements:

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 and/or relevant experience in investigation, corporate finance, forensic accounting or enforcement agencies. Knowledge of the Listing Rules is a plus.

Candidate for the position should have excellent Chinese and English, competent analytical and computer skills and be able to explain complex issues simply. Putonghua is an advantage. Given SFC’s role, you must be a responsible and ethical person.

Deadline for Application: 4 April 2025

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Temporary Manager (6-Month Contract) - Enforcement (Special Operations - Market Misconduct Team)

Ref.: SFC/TM/ENF/SOMMT/250317

We are now seeking candidates for the Temporary Manager position in the Enforcement Division (Special Operations - Market Misconduct Team). This is an excellent opportunity for you to join our professional team in the Enforcement Division of the SFC. The Enforcement Division investigates and combats market and listed company crimes as well as intermediary misconduct issues. These investigations are intellectually challenging and crucial to Hong Kong’s status as an international financial centre.

Duties & Responsibilities:

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 / she will be responsible for:

• gathering background information and conducting fund tracing analysis for preparing search operations
• conducting search operations on the premises relating to the suspects
• interviewing suspects and parties involved in the suspected misconduct
• analysis evidence obtained and preparing succinct reports to the management
• preparing cases for criminal or civil proceedings before Hong Kong’s courts and tribunals.

Requirements:

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, Accounting, Finance or IT digital forensic. An ideal candidate should have at least six years of working experience in securities firms, investment banks, corporate advisers, law enforcement agencies, 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, detail-oriented mindset, competent analytical skills and the ability to communicate effectively and articulate complex issues simply is essential. Putonghua is also an advantage.

Deadline for Application: 28 March 2025

Please visit our website at https://www.sfc.hk/en/Career/Why-the-SFC/Join-us-as-an-experienced-professional/Current-Openings for more information about the position.

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