Key Responsibilities

• Supervise daily brokerage activities, including account openings, fund management, trade settlements, reconciliations, and transaction monitoring.
• Establish and monitor KPIs to ensure service quality, timeliness, and compliance with internal control standards.
• Develop and enforce comprehensive SOPs and risk controls in accordance with SFC, AML/CFT, and licensing regulations.
• Handle the escalation and resolution of exceptions, disputes, and risk-related events.
• Lead continuous automation efforts to minimize manual tasks and enhance overall efficiency and risk management.
• Advocate for the development and improvement of data management and operational reporting systems to assist leadership in tracking business performance and making informed decisions.
• Collaborate with Product and IT teams to modernize back-office systems, reporting tools, and workflows.
• Partner with Compliance and senior management to ensure operational practices align with regulatory requirements.
• Assist in preparing for new business and product launches.
• Coordinate with Mainland and overseas shared service teams to guarantee smooth cross-border operations.
• Engage in SFC inspections, business plan submissions, and internal audits as necessary.
• Guide and mentor the operations team (client support, middle office, settlements), setting clear objectives and training initiatives.
• Cultivate a proactive, accountable culture focused on problem-solving and delivering excellent service.

Qualifications

• 8–12 years of experience in brokerage, digital wealth management, or financial operations.
• Proven experience in managing comprehensive operations and leading transformation projects (e.g., automation, vendor systems, process redesign).
• Knowledgeable in HK, US, and A-share market settlements, cash operations, and corporate actions.
• Experience in cross-border coordination or shared services is advantageous.
• Preferably possess Type 1, 2, 4, or 9 license.
• Strong understanding of SFC regulations, AML requirements, and internal control frameworks.
• Detail-oriented and process-focused with superior execution and project management capabilities.
• Fluent in English and Mandarin (Cantonese preferred).
• Strong abilities in stakeholder management and cross-department collaboration.
• Familiar with back-office systems, reconciliation tools, and reporting platforms.

*Feel free to send your resume to WhatsApp84945461 Raymond for further action.*