We are looking for a self-motivated, focused individual with strong compliance knowledge base to oversee the SFC regulated activities of our securities brokerage debt capital and fund management businesses.

Job Highights

• Min 3 year compliance experience
• Familiar with SFC regulations
• Degree holder with in Law, economics, finance

Job Description
 
Responsibilities :
 

• Ensure that the operating procedures comply with regulatory and company policies and requirements
• Identify key compliance and operation risks and weaknesses
• Maintain the monitoring systems, provide risk and compliance advice and ensure the operation in accordance with various risk and compliance parameters
• Conduct KYC, AML checking for client account opening
• Conduct a vigorous awareness of changes in the regulatory environment and if necessary, modify and adapt changes in the policies, procedures and monitoring systems
• Perform periodic compliance monitoring and reviews on business activities, ensure the operational flow of the Company conforms to internal requirements and external regulations
• Dealing with any inquiries from and leading on behalf of the business during inspections or audits undertaken by the SFC and other regulatory authorities
• Assist the business on various other matters, including but not limited to SFC inquiries, SFC license applications and CPT monitoring etc.

 
Requirements :
 

• A degree holder in Law, Accounting, Finance or other related disciplines
• Familiar with SFC regulations, rules and guidelines
• Min 3 years relevant experience with a Type 1, 4 and 9 license related business under SFC regulation
• Independent and good team player
• Strong knowledge of prevailing financial service regulatory requirements
• Good command of spoken and written English and Mandarin

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: