Job Description

Our client:

Our client is a leading Fintech/Securities firm.

Responsibilities:

Operations & Risk Management

• Oversee daily brokerage operations: account opening, funds/cash, trade settlement, reconciliations, transaction monitoring.

• Set and track KPIs for service quality, timeliness, and internal controls.

• Implement SFC-compliant SOPs, risk controls, and AML/CFT procedures.

• Handle escalation and resolution of exceptions, disputes, and risk incidents.

Process & Technology

• Drive automation to reduce manual work and improve efficiency/risk controls.

• Enhance management dashboards and operational reporting.

• Collaborate with IT/Product on back-office system and workflow upgrades.

Regulatory & Cross-Functional

• Partner with Compliance/senior management for regulatory alignment.

• Support new product/business launches operationally.

• Coordinate with Mainland/overseas shared-service teams.

• Participate in SFC inspections, filings, and audits.

Team Leadership

• Lead operations team (client support, middle office, settlements).

• Set goals, provide training, build accountable service-focused culture.

Requirements:

• 8–12 years in brokerage/digital wealth/financial operations.

• Proven in end-to-end operations and transformation (automation, systems, process redesign).

• Knowledge of HK/US/A-share settlements, cash, corporate actions.

• Cross-border/shared-service experience preferred.

• SFC Type 1/2/4/9 licence preferred.

• Strong grasp of SFC rules, AML/CFT, internal controls.

• Detail-oriented, strong process/execution/project management.

• Fluent English + Mandarin (Cantonese advantageous).

• Excellent stakeholder/cross-functional skills.

• Proficient in back-office, reconciliation, and reporting systems.

To apply online,  please click the Apply button below. For a confidential discussion about this role please contact us at +852 2391 2813.

Personal data collected will be used for recruitment purposes only.