Head of Operations (VP-D)

Responsibilities

• Formulate and enhance company operational frameworks, policies, and procedures for trade settlement, account management, fund valuation, and administration. Implement initiatives in compliance with regulatory requirements (including CSRC).
• Oversee end-to-end operations for Type 1, 4, 6, and 9 licensed activities and investment/financing businesses. Manage cash transfers and daily settlement instructions to ensure seamless trade execution.
• Monitor settlement systems with external institutions and custodian banks to ensure operational stability, mitigate operational risks, and enhance settlement capabilities aligned with business growth.
• Safeguard client assets under custody per regulatory requirements. Ensure AML and legal compliance in processing deposits/withdrawals/transfers to prevent regulatory risks.
• Collaborate closely with Middle Office, Legal & Compliance, Risk Management, ALM, and Front Office to drive team effectiveness and elevate operational efficiency.

Requirements

• Bachelor’s/Master’s in Finance/Economics/Business from a top-tier institution.
• 10+ years of licensed operations/administration experience in brokerages, investment banks, or private funds.
• Expertise in settlement systems (CCASS, iboss, Clearstream XACT) and custody market operations.
• In-depth knowledge of investment banking, direct investments, asset management, and related products.
• Proven ability to lead teams in executing routine/ad-hoc internal/external tasks.
• Strong accountability, logical thinking, resilience, and communication skills. Proficient in Mandarin, Cantonese, and English.