Employment Opportunities


Southwest Securities International Securities Limited is committed to creating an inspiring and rewarding workplace for its employees.  The company provides its employees with the opportunities to develop their talents and to grow to their full potential.  High rewarding careers, continuous growth and personal development are major components of its culture. It welcomes high caliber, results driven and motivated individuals to join the working team!

Submit Your Application
If you are interested in the company's vacancies, please submit your resume in both Chinese and English to Human Resources Department via the following channels:

Website: Apply now

Email: recruitsws@swsc.hk

Post: 40/F., Lee Garden One, 33 Hysan Avenue, Causeway Bay, Hong Kong

Data collected will be used for recruitment purpose only.


Legal & Compliance Department

  • Vice President
    • Handle enquiries, correspondence and licensing matters with regulatory bodies (e.g. SFC, HKEx, MPFA, PIBA)
    • Keep abreast of the latest development of regulations to ensure compliance with the law, regulations and rules
    • Maintain the daily work contact with the supervisory authorities; following and evaluating the fulfillment status of the supervisory opinions and requirements; coordinating with different departments of the Company to ensure compliance with regulators’ request; managing regulatory exams, self-assessments and surveys with the local regulatory authorities e.g. SFC, CIB, PIPA and etc.
    • Promulgate and implement compliance management plans, including implementation and evaluation of specific policies and procedures, evaluation of compliance risks, test for compliance and training and education of compliance
    • Conduct on-going checking and monitoring for various banking activities including staff dealing, regulated activities and credit related products
    • Maintain the Company’s database related to AML, conduct AML on-site compliance checking and assessment on Suspicious Transaction Reports (STRs)
    • Review the compliance of Company’s various policies, procedures and guidelines, assist each business line and internal control team to systemize and amend such policies, procedures and guidelines in order to ensure the said policies are in accordance with the requirements of laws, regulations and rules
    • Deliver compliance training to employees
    • Participate in ad hoc projects as assigned
    • Degree holder in Business, law, accounting or related disciplines
    • Minimum 10 years of compliance experience in the financial services industry
    • Well familiar with SFO, Exchange rules, AMLO, relevant codes & regulations including those under PIBA
    • Good knowledge of the securities and futures market, including derivatives products, knowledge of insurance business is an advantage
    • Self-motivated, customer-centric and able to work under pressure
    • Excellent interpersonal, relationship management and communication skills
    • Proficiency in MS Office applications including Chinese word processing
    • Excellent command of spoken and written English and Chinese, including Mandarin

Risk Control Department

  • Senior Manager/Manager



    • Conduct projects’ due diligence, including desk top researches, company documents and third parties due diligence reports review
    • Set up Investment project risk management procedure and manual
    • Assess and prepare related risk report for investment projects
    • Conduct risk analysis and assessment on new product / business initiatives
    • Participate in approval for fixed income, equity and lending transactions to ensure escalation of potential risk
    • Keep track of financial covenants compliance and other agreed investment/loan terms fulfillment
    • Prepare monthly/quarterly/annually risk report of Investment Project and report to senior management
    • Manage and review the operation of various departments regularly and conduct related risk assessment and set up control measures;



    • Degree holder or above in Risk Management, Finance, Statistics or related discipline
    • Professional qualifications, including FRM, CPA, CFA is preferred
    • Minimum 6 years of experience in risk management with investment project /structure products/private equity, etc.
    • Experience gained from securities or financial industry or big 4 audit for investment projects is essential
    • Good knowledge in risk management and data analysis
    • Good understanding of risk control and able to work independently
    • Excellent analytical and numeracy skills / sound knowledge in risk management, risk analysis and project management
    • Good command of both spoken and written English and Chinese, including fluency of Mandarin 

Corporate Finance Department

  • Vice President



    • Take a leader role in corporate finance projects including IPO, financial advisory, Listing Rules and/or Takeovers Code related transactions and capital raising projects
    • Assist in assessing potential deals, developing new business, executing transactions and maintaining client relationship
    • Liaise with professional parties and communicate with regulatory authorities including the Hong Kong Stock Exchange and the SFC in connection with implementation of the projects
    • Perform due diligence and financial modeling
    • Prepare deal structure, fund raising proposals and road show presentations



    • University degree holder or above preferably with professional qualification such as CPA or CFA
    • Minimum 5 years’ relevant experience in corporate finance preferably gained from investment banks, international accounting firms or professional firms
    • In-depth knowledge and understanding of the Listing Rules and other relevant rules and regulations. Experience in Takeover Code related transactions is preferred
    • Able to work independently and meet tight deadlines.
    • Self-motivated and be a good team player with strong management and problem solving skills
    • Excellent command of written and spoken Chinese & English, fluency in Putonghua
  • Analyst
    • Perform financial analysis, industry research and investment evaluation
    • Prepare pitchbooks, marketing and presentation materials
    • Participate in executing corporate finance assignments, including IPO, M&A, fund raising and advisory transactions
    • Assist to prepare listing documents and draft announcements and circulars
    • Perform due diligence and financial modeling
    • Support senior management and assist in any ad-hoc projects assigned
    • University degree or above in Finance, Economics, Accounting or other Business-related subjects
    • Professional qualification such as CPA and/or CFA is preferred
    • Minimum 1 year of relevant experience in corporate finance, preferably with IPO execution experience
    • Candidate with Big 4 audit experience is an advantage
    • Outgoing, mature, well-organized, self-motivated, result oriented with ability to work under pressure and meet tight deadlines
    • Good team player, hardworking, responsible and willing to do frequent business travelling
    • Strong analytical, good communication and problem solving skills
    • Excellent command of written and spoken Chinese & English, fluency in Mandarin

Wealth Management Centre

  • Manager



    • Provide full range of financial planning services to high-net-worth customers
    • Promote investment and insurance for optimizing new business opportunities
    • Maintain a good relationship with client
    • Provide professional after-sales service
    • Assist in ad-hoc projects and carry out any other duties and responsibility



    • Degree holder or above
    • Minimum 2 years of related experience in selling investment and insurance product
    • Passes in the Insurance Intermediaries Qualifying Examinations and Hong Kong Securities Institute Licensing Examinations
    • Good market sense and strong knowledge on investment markets & products, including but not limited to bonds, equities, commodities & FX, Unit Trust & Structured Products
    • Strong sales and customer orientation with good communication and interpersonal skills
    • Strong communication and interpersonal skills and able to work under pressure
    • Good command of written and spoken English and Chinese, fluency in Mandarin is a must