Location: Tsim Sha Tsui, Yau Tsim Mong District
Job Type: Full time
Salary: 60,000 – 90,000
Key Responsibilities
Operational Management & Risk Control
· Oversee daily brokerage operations including account opening, fund management, trade settlement, reconciliation, and transaction monitoring
· Define and track KPIs to ensure service quality, timeliness, and internal control standards are met
· Implement robust SOPs and risk controls in compliance with SFC, AML/CFT, and licensing requirements
· Manage escalation and resolution of exceptions, disputes, and risk events
Process Improvement & Technology Initiatives
· Drive continuous process automation to reduce manual interventions and improve overall efficiency and risk controls
· Promote the establishment and enhancement of management data and operational reporting systems to help leadership monitor business performance and support informed decision-making
· Collaborate closely with Product and IT teams to upgrade back-office systems, reporting tools, and workflows
Cross-functional Collaboration & Regulatory Support
· Work closely with Compliance and senior management to ensure operational alignment with regulatory expectations
· Support operational readiness for new business and product launches
· Coordinate with Mainland and overseas shared service teams to ensure seamless cross-border execution
· Participate in SFC inspections, business plan submissions, and internal audits as required
Team Leadership
· Lead and mentor the operations team (client support, middle office, settlements), setting clear goals and training programs
· Foster a proactive, accountable culture focused on problem-solving and service excellence
Candidate Profile
Experience & Background
· 8–12 years of experience in brokerage, digital wealth, or financial operations
· Proven track record managing end-to-end operations and driving transformation projects (e.g., automation, vendor systems, process redesign)
· Familiar with HK, US, and A-share market settlements, cash operations, and corporate actions
· Experience in cross-border coordination or group shared services is a plus
Licensing & Compliance
· Preferably holding Type 1, 2, 4, or 9 license
· Strong knowledge of SFC rules, AML requirements, and internal control frameworks
Skills
· Detail- and process-oriented with excellent execution and project management skills
· Fluent in English and Mandarin (Cantonese preferred)
· Strong stakeholder management and cross-department collaboration capabilities
· Familiar with back-office systems, reconciliation tools, and reporting platforms