Key Responsibilities:
• Applying SFC license of type 1 and type 4 regulated activities
• Act as Responsible Officer to supervise SFC regulated activities
• Formulate, review and update the Company’s policies, operations procedures and guidelines
• Manage daily operations to ensure full regulatory compliance
•Monitor business and financial performance against the plans and ensure regular reporting
• Handle compliance cases and complaints
• Provide training to staff on compliance related matters
• Participate in the preparation and development of annual business plan and budgets
• Comply with all applicable laws, rules and regulations and standard of good market practices

Requirements:
• Degree holder of Finance, Economics, Accounting, Law or other related disciplines
• Minimum 5 years solid experience in financial industry
• Minimum 3 years representative experience of Type 1 regulated activities
• Current holder of the SFC unconditional Responsible Officer license for type 1 regulated activities is a must
• Competent knowledge in equity market & different financial product
• Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control
• Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills
• Good command of written & spoken English and Chinese (including Mandarin)
• Immediate available is highly preferred

We offer attractive remuneration packages to the right candidate. Interest parties please send your full resume with expected salary by e-mail to recruithr.cwsi@gmail.com

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