You will collaborate closely with the CEO, CFO, and other executives to implement strategies that enhance productivity, profitability, and client satisfaction. The ideal candidate will bring extensive experience in financial services operations, a strong strategic mindset, and an open, adaptive approach to business change and development.
Responsibilities:
- Lead and manage daily operations, coordinating cross-functional teams including operations , sales & marketing, finance, business development, risk management, compliance and IT
- Manage daily operations to ensure full regulatory compliance with the Securities and Futures Ordinance, SFC Codes and Guidelines
- Monitor trading activities and conduct regular compliance reviews and risk assessments to identify and mitigate potential risks
- Develop, implement, and update compliance policies and internal control procedures regularly; ensure control and compliance with general operational risk management standards and regulatory requirements in all areas of operations
- Drive continuous improvement initiatives to optimize workflows, enhance productivity, and maintain compliance with regulatory standards
- Develop and execute operational strategies aligned with the companys vision and market positioning
- Monitor market trends and competitor activities to inform strategic decisions and business development
- Lead change management efforts with an open-minded attitude towards new business models and technologies
- Support various business unites in operations management
- Advise senior management on regulatory changes, business planning and risk management strategies
- Build and maintain strong collaboration relationships with stakeholders, including clients, regulators, and business partners
- Foster a motivated team by coaching, training, and mentoring; a culture of knowledge-sharing and continuous improvement
Requirements:
- Bachelors degree or above in Finance, Economics, or other business-related disciplines
- Solid operation experience across various functions of brokerage business
- Minimum 8 years of relevant experience
- Current holder of SFC Responsible Officer license is preferred (Type 1, Type 2, Type 4, Type 5 and/or Type 9 regulated activities)
- Strong understanding of the Securities and Futures Ordinance (SFO) and relevant guidelines and the latest developments
- Proven leadership skills with the ability to manage cross-functional teams
- Self-motivated, meticulous, and capable of working independently in a fast-paced environment
- Proficiency in both written and spoken English and Chinese