Summary of the role and key responsibilities
- Manage daily operations of account opening, funding, trade settlement, and monitoring.
- Ensure compliance with SFC, AML, and licensing rules; manage risks and exceptions.
- Drive automation and system upgrades to improve efficiency and controls.
- Lead process improvements and enhance management reporting.
- Collaborate with Compliance, Product, IT, and cross-border teams.
- Support new product launches, regulatory inspections, and audits.
- Lead, mentor, and develop the operations team.
Requirements:
- 8–12 years in operations roles with some of them gained in security brokerage
- Experience in managing a team while being hands-on
- Proven experience in managing operations and leading automation/transformation projects.
- Strong knowledge of HK/US/A-share settlements and SFC/AML compliance.
- Preferably holds SFC licenses (Types 1, 2, 4, or 9).
- Fluent in English and Mandarin; Cantonese is a plus.
- Hands-on with back-office and reporting systems.