Director of Intermediaries Supervision
Securities and Futures Commission
Joanne Li is the Director of Intermediaries Supervision of the Hong Kong Securities and Futures Commission (SFC). With extensive experience in the financial markets, Joanne currently oversees the Global Institutional Group within the Intermediaries Supervision Division supervising the major financial institutions including the largest and most systematically important global investment banks, securities and futures dealers, and asset managers licensed in Hong Kong.
Prior to joining the SFC, Joanne had spent years working as a market participant as well as a seasoned regulator in both the US and Asia markets. Her prior working experiences include Executive Director of Goldman Sachs managing the Asia Regulatory Operations. Director of Member Supervision Office of Regulatory Oversight and Financial Operations (ROOR) at FINRA. Bank of New York Mellon as Senior Vice President responsible for the Global Compliance Group, and New York Stock Exchange Regulation as Principal Examiner leading the large broker-dealers examination team.