Our client, a rapidly scaling fintech firm with a proven track record in Southeast Asia, is preparing to launch its retail-focused investment platform in Hong Kong. To support this expansion, they seek an accomplished Head of Operations to lead the local business infrastructure, ensure regulatory integrity, and drive operational excellence. This is a pivotal leadership role for a candidate with deep experience in Hong Kongs financial regulatory landscape and a passion for innovation in consumer finance.
Responsibilities
- Operational Oversight:Take on the role of Responsible Officer for SFC Type 1, 4, and 9 licenses. Ensure seamless execution of trading and settlement activities while maintaining full regulatory compliance.
- Compliance Leadership:Design and enforce comprehensive compliance protocols aligned with Hong Kongs financial regulations.
- Process Development:Partner with product and engineering teams to refine operational workflows and support the rollout of new financial products.
- Continuous Improvement:Collaborate across departments to identify opportunities for operational enhancements and respond proactively to market shifts.
- Strategic Execution:Support executive leadership in driving key business initiatives and contributing to long-term growth strategies.
Ideal Profile
- Academic Background:Bachelors degree or higher in finance, economics, accounting, or a related discipline.
- Industry Experience:At least 10 years in financial services, including 3+ years in a leadership or management role.
- Licensing Requirements:Must hold an unconditional SFC RO license for Type 1, 4, and 9 activities.
- Communication Skills:Proficient in both English and Cantonese, with strong interpersonal and written communication abilities.
- Team-Oriented:Demonstrates a collaborative mindset and thrives in high-pressure environments.
- Fintech Familiarity:Experience with digital brokerage platforms and knowledge of SFCs Online Distribution Guidelines is a plus.
- Retail Focus:Prior involvement in onboarding and servicing retail clients is highly desirable.
Applicants must meet the following SFC standards:
- Served as a Responsible Officer for Type 1, 4, and 9 activities for at least 3 of the past 6 years
- Must be an unconditional RO
- Must have held MIC roles for the relevant business lines
- Experience managing retail client relationships and safeguarding client assets
Demonstrated expertise in:
- Type 1: Promoting collective investment schemes to retail investors
- Type 4: Providing advice on equity and fixed income CIS to retail clients
- Type 9: Managing discretionary portfolios and CIS for retail investors
Benefits
- Attractive Compensation + Equity upside
- Hybrid work environment
- Play a pivotol role in shaping the future of consumer finance
- Collaborate with brightest minds across APAC region