Key Responsibilities:

• Act as Responsible Officer to supervise SFC Type 1 and Type 2 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 and Type 2 regulated activities
• Currently SFC registered RO for RA 1 & 2 RO license; preferable with RA 9  RO license is definitely advantageous

• 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. For more information about our company, please visit our website at http://www.cwsi.com.hk. All information provided will be treated in strict confidence and used solely for recruitment purpose. 

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: