Head of Operations & Settlement Department

多家中资券商招募Head of Operations和Director, Middle Office (Equity Sales Team), 管理证券业务的运营，感兴趣请联系Katherine

微信号：Katherine_Shiu 欢迎转发与自荐！

Head of Operations & Settlement Department

Responsibilities:

1. 1. Team & Process Management: Oversee daily operations of the Operation & Settlement Department (operations, trading support teams), set team goals and performance criteria; optimize trade clearing, account management processes to meet SFC and HKEX regulations, and improve operational efficiency and risk control.
   2. Trade Clearing & Settlement: Coordinate full-cycle clearing/settlement for equities, OTC products, derivatives; monitor daily reconciliation, fund transfers, securities delivery, resolve issues like clearing discrepancies, and ensure accurate, timely settlements.
   3. Risk Compliance & System Support: Lead risk control in operations/trading, conduct regular compliance checks to meet AML/KYC rules; collaborate with IT to maintain clearing systems (e.g., CCASS, DCASS) and optimize system functions for business needs.
   4. Cross-Department & Client Support: Communicate with front-office trading, risk, finance teams to solve cross-department issues; support institutional clients and internal teams with clearing rule explanations, process consulting, and problem-solving.
   5. Business Expansion & Team Development: Help design clearing plans for new products (e.g., structured products, cross-border transactions) and assess feasibility/risk; organize training to enhance teams proficiency in Hong Kong market rules, products, and systems.

Requirements:

1. 1. Bachelors degree or above in Finance, Economics, Business Administration, etc.; hold SFC Type 1/Type 4 licenses or equivalent (e.g., CFA, CPA).
   2. Experience: 8-10 years in HK securities ops, clearing, trading, or customer service, plus 3-5 years leading cross-functional teams; familiar with financial product transaction lifecycle and HK regulations (SFC, HKEX).
   3. Technical Skills: Deep understanding of clearing systems (e.g., O32, Fusion) and trading platforms; proficient in risk control (AML, KYC); able to optimize processes for efficiency, smooth trading, and service quality.
   4. Soft Skills: Strong leadership (goal-setting, performance evaluation), cross-department collaboration, and problem-solving abilities; high compliance awareness and adaptability to HKs dynamic financial regulations.