Responsibilities:

• Supervise and monitor day-to-day operations, including all SFC regulated activities, margin and credit risk control, to ensure all activities comply with HKSFC rules, regulations and regulatory compliance; 
• Review and update the operational and internal control procedures; 
• Prepare and maintain a proper documentation of operational policies and procedures; 
• Oversee Settlement and Operational Department;
• Review financial reporting that complies with SFO; 
• Handle matters of compliance cases and complaints; 
• Provide support and assist senior management in business development and market plans; 
• Perform other duties as assigned 

Requirements: 

• Immediate availability is highly preferred; 
• Current SFC Type 1 & 2 Responsible Officer (RO) License holder (well experienced representative which is qualified to be applied for the RO will also be considered); 
• 3 years of supervisory experience in a brokerage firm is preferred; 
• Solid understanding of middle and back office operations, risk controls and investment process; 
• Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities; 
• Able to work under pressure and meet tight deadlines; 
• Proficient in both spoken and written English and Chinese (including Putonghua) 

We offer attractive remuneration packages to the right candidate. Interest parties please send your full resume (CV) with expected salary and availability by clicking "APPLY NOW".

**Data collected will be used for recruitment purpose only.

CWSIL is a well-established securities brokerage firm under a Public Listed Company. Our business covers Securities Brokerage, Futures and Asset Management.

To cope with our business growth and expansion, we are looking for high caliber candidates to join our dynamic team: