Securities Brokerage Business Risk/Compliance

Key Responsibilities

1. Build and optimize integrated operational & credit risk policies, frameworks and limit systems, ensuring compliance with SFC regulations.

2. Monitor daily brokerage operations (margin financing, trading, wealth management); track risk incidents, drive root cause analysis and control improvements.

3. Conduct dual-dimensional risk assessments for new businesses/products, wealth management product onboarding and large financing projects, provide mitigation recommendations.

4. Lead RCSA programs; maintain high-risk client/stock lists and real-time monitoring; manage margin call/forced liquidation compliance and post-loan monitoring.

5. Oversee iteration of risk control modules in core systems; support business continuity plan development.

Requirements

- Bachelor's degree in Finance, Business, Accounting or related fields - FRM/CFA highly preferred

- 8+ years comprehensive risk experience in Hong Kong-licensed securities firms, with proven track record in both operational and credit risk for brokerage business

- Deep knowledge of SFC rules, HK/US equities margin financing, futures & options; experience in extreme market conditions is a big plus

- Proven experience leading RCSA, new product risk assessments and wealth management product reviews

- Strong financial analysis, policy writing and cross-functional collaboration skills

- Ability to multitask and work under pressure in a fast-paced fintech environment

- Fluent in English, Cantonese and Mandarin

Risk Management, Operational Risk, Credit Risk, Margin Financing, HK/US Equities, Futures and Options, Wealth Management, RCSA (Risk Control Self-Assessment), Risk Assessment, Risk Mitigation, Margin Call, Forced Liquidation, FRM/CFA