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 available is highly preferred;
• Current SFC Type 1 & 2 R.O. License holder with minimum 2 - 3 years of supervisory experience in brokerage firm is highly preferred (Well experienced representative who is qualified to be applied for the R.O. will also be considered);
• Solid knowledge of Trading systems (e.g. iAsia system and Sharp Point system);
• Experience and understanding of Front-end Trading (both Securities and Futures) operation and control;
• Experience and understanding of Middle and Back office operation (including Clearing and settlement of CCASS & DCASS; FRR report review and Liquid capital calculation);
• Good knowledge of SFC ordinance, regulations and guidelines of relevant regulatory bodies, e.g. SFC and HKEx;
• Knowledge and trading experience in Global Futures and US Stock would be definitely advantages 

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: