Head of Operations

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.