Deputy Head, Operations

Job Responsibilities:

• Supervise end-to-end operations including KYC review, account opening, client fund management, trade execution support, securities settlement, and reconciliation;
• Develop and optimize SOPs, business protocols, and risk control mechanisms to enhance operational efficiency;
• Handle account/trade inquiries and customized client requests in coordination with front-office teams;
• Drive automation initiatives to streamline workflows and improve operational accuracy.
• Ensure adherence to SFO, HKEX rules, and regulatory requirements; coordinate audits and inspections;
• Develop emergency response plans and maintain operational resilience across departments;
• Optimize team structure, foster performance-driven culture, and ensure cross-department collaboration.

Job Requirements:

• Bachelor’s degree or above in finance, economics, accounting, risk management, or related fields;
• 8+ years of securities brokerage/financial operations experience, including 5+ years in team/department management;
• Experience in securities firms, asset management, or licensed corporations;
• In-depth understanding of end-to-end securities operations, including account systems, position management, fund clearing, settlement, and corporate actions;
• Expertise in Hong Kong market settlement rules and conventions, with familiarity in HK, A-share, and U.S. market issuance, settlement, and corporate action processes;
• Proficiency in FICC product trading, settlement, and risk management (e.g., bonds, FX, rates derivatives), including collateral and margin mechanisms;
• Knowledge of derivatives (futures, options, OTC) trading, settlement, and risk management, with hands-on experience in margin systems and hedging strategies;
• Strong grasp of SFC regulations, AML/CFT requirements, and internal controls; SFC securities/futures licensing preferred;
• Advanced proficiency in office software, back-office systems, reconciliation tools, and reporting platforms;
• Detail-oriented, process-driven, with strong execution and project management skills;
• Strong business acumen, risk awareness, and adaptability in fast-paced environments;
• Analytical and problem-solving abilities to identify issues, propose solutions, and drive follow-up actions;
• Fluency in English and Chinese (Mandarin/Cantonese) for business communication.

Data collected would be used for recruitment purposes only.