Duties and responsibilities:

• Responsible for managing the Brokerage Sales department/branches, and their overall business performance;
• Accountable for the overall business target and performance of Brokerage Sales business;
• Manage and supervise actitivities and transations conducted at branched and handled by Account Executives (AEs) and brokerage sales/staff;
• Support the brokerage sales/staff and AEs to build portfolio of securities accounts, arrange for margin/share financing and closely monitor portfolio and margin status;
• Assist in the recruitment and retention of AEs and manage their activities;
• Attend to all AEs and clients’ enquiries and requests;
• Contribute towards development of brokerage branch network;
• Monitor credit and compliance risks of branch activities and ensure compliance with rules and regulations required by HKEX and SFC;
• Support the development of new products, services, sales and distribution channels (e.g. Internet trading platforms), and also UAT for trading systems;
• Build and maintain strategic relationships and alliance with business partners and related stakeholders within the group company for cross selling opportunities;
• Responsible for ensuring maintenance of appropriate standards of conduct and adherence to proper procedures of the company and in particular, actively and visibly engaging in compliance issues, including ensuring adequate control systems and procedures, demonstrating a continuous and serious approach to regulatory risk forecasting.

Requirements:

• Degree holder in Business Administration / Finance or related discipline(s) preferred;
• Minimum 12 years of relevant experience in brokerage sales and management;
• Qualified for applying RO for SFC regulated activities of Type 1 & 2;
• Solid knowledge in equity, futures, options and commodity trading; and a plus for having experience in wealth management or structured products;
• Leadership in corporate governance, regulatory culture and strength in personal integrity;
• Attained all necessary regulatory criteria for carrying out brokerage activities;
• Strong expertise and knowledge in brand building & product promotion;
• Creative in designing strategies to meet customers’ need;
• Excellent interpersonal, people management and negotiations skills;
• Strong communication in written and spoken English, Cantonese and Putonghua;
• Candidates with less experience will be considered as Deputy Head of Brokerage Sales.

We offer attractive remuneration package and fringe benefits including 5-day week to the right candidate.  Interested parties please send your application letter with resume stating present and expected salary to Human Resources Department by clicking "Apply Now", or mail to Level 17, 28 Hennessy Road, Hong Kong. (Please quote the reference of the post on the envelope) .
All information received will be kept in strict confidence and only for recruitment-related purposes.

All information received will be kept in strict confidence and only for recruitment-related purposes.

Shenwan Hongyuan (H.K.) Limited (Stock code: 00218.HK) is the flagship institution of Shenwan Hongyuan Group Co., Ltd. (Stock code: 06806.HK, 000166.SZ) conducting securities business in overseas through Shenwan Hongyuan Securities Co., Ltd. SWHYHK is one of the earliest Chinese securities institutions that developed business in Hong Kong and has been based in the Hong Kong market for more than 25 years.
The Group provides global investing and financing integrated financial services to institutional clients, corporate clients and individual clients in Hong Kong, Mainland China and the world. The Group's business scope covers personal finance, enterprise finance, institutional securities, asset management and securities research. The Group has offices in London, Singapore, Tokyo and Seoul, establishing the global trading as well as investing and financing services network gradually