Job description
Job Overview:
We are seeking a highly motivated individual to play a key role in the development of a cutting-edge securities trading platform under SFC Type 1 regulated activities. Reporting to the Head of Wealth Management and Insurance, this position focuses on integrating automation and digital technologies to enhance customer experience and operational efficiency.
• Support the launch of a securities trading platform with margin trading from end to end, ensuring compliance with SFC Type 1 regulations
• Lead the overall development and operations of the securities trading business, ensuring the achievement of business objectives
• Drive automation and digitization initiatives for the platform to streamline operations and improve customer engagement
• Develop business plans, review the internal policies, guidelines and operational procedures to fulfill all prospects of sustaining the development, compliance and risk control with regulators guidelines
• Participate in investment products launch, system enhancement/integration projects, testing and provide requirement on the new launch and other initiatives
• Work with the department head to align platform capabilities with business strategies, and collaborate with internal stakeholders (e.g., IT, compliance, loan, risk and operation teams) and external vendors to implement platform solutions
• Assist to handle issues in relation to communications with regulators and exchanges, co-ordinate necessary responses or actions
• Observing regulatory changes and proposing compliance follow-up actions
• Stay updated on industry trends and competitor platforms to identify opportunities for innovation and improvement
• Formulate and implement investment strategies that are consistent with the company's overall objectives
• Drive the team to execute annual plans and project deliverables effectively
Job Requirement
• Bachelor's degree or higher in Finance, Business Administration, Economics Technology, or related disciplines
• Minimum 5-8 years of experience in securities trading, margin financing, crypto, digital transformation, or wealth management, with exposure to building or enhancing trading platforms
• Qualified and have experience to be a Responsible Officer or Executive Officer under SFC Type 1 is a plus
• Strong understanding of regulatory frameworks and requirements for securities trading, margin financing and settlement in Hong Kong and US markets
• Proven track record of managing digital transformation or automation projects in the financial services industry
• Excellent project management and leadership skills, with the ability to engage with both technical and non-technical teams
• License holder with passes in HKSI Licensing Exam (Paper 1, 7 & 8) or equivalent
• Excellent interpersonal and communications skills, with the ability to work effectively as part of a team
• Proficiency in both written and spoken English, Chinese and Mandarin
• Must be flexible to work in flexible hours to accommodate various exchange markets
• Proactive, good interpersonal skill and able to work under pressure
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