Operations Manager

Responsibilities:

1. Daily Operations and Management: Assist in supervising and managing the daily operational workflows for local and global markets (including equities, bonds, funds, and derivatives); assist in executing KYC (Know Your Customer) and AML (Anti-Money Laundering) checks for account openings.
2. Cross-departmental Coordination: Coordinate the daily operations of the Customer Service, Dealing, and Settlement departments to ensure smooth cross-departmental workflows.
3. Compliance and Risk Management: Work closely with the Compliance department to ensure all operational processes strictly comply with the latest regulations and guidelines of the Hong Kong Securities and Futures Commission (SFC) and relevant regulatory bodies; assist in implementing various compliance control measures.
4. Process Improvement: Regularly review and evaluate existing operational SOPs (Standard Operating Procedures), assist in identifying issues, and develop solutions to enhance overall operational efficiency and mitigate operational risks.
5. Team Support: Assist in handling daily operations and support projects assigned by the Head of Operations.
6. System Testing and Cross-departmental Collaboration: Lead the team in conducting User Acceptance Testing (UAT) and maintain close communication with frontline business, compliance, finance, and IT departments to ensure smooth business operations.

Requirements:

1. Current holder of SFC Type 1 license, with RO qualification as a key advantage.
2. Bachelor's degree or above in Business Administration, Finance, or a related business discipline.
3. 6–10 years of relevant working experience in financial institution operations, client onboarding, KYC, and dealing. Prior experience in the securities brokerage industry is a must.
4. Sound knowledge of SFO, FRR, regulations, and guidelines of the relevant regulatory authorities, risk management control and compliance.
5. Proficient in both written and spoken Cantonese and Mandarin. Able to thrive in a fast-paced trading environment during peak hours, with the proven ability to work independently and perform effectively under pressure.

核心職責:

1. 日常營運與管理： 協助監督及管理本地及環球市場（包括股票、債券、基金及衍生工具）的日常運作流程，協助開戶執行KYC及反洗錢檢查。
2. 跨部門統籌與協調： 協調客戶服務部、交易部及結算部的日常運作，確保跨部門工作流程順暢。
3. 合規與風險管理： 與合規部緊密合作，確保所有營運流程嚴格遵守香港證監會 (SFC) 及相關監管機構的最新法規與指引，協助落實各項合規監控措施。
4. 流程改善： 定期審視及評估現有營運SOP，協助識別並制定解決方案，以提升整體營運效率及降低操作風險。
5. 團隊支援： 協助處理日常營運，並支援營運主管指派的項目。
6. 系統測試與跨部門協作： 帶領團隊進行用戶驗收測試（UAT），並與前線業務、合規、財務及IT部門保持緊密溝通，確保業務運作順暢。

工作要求:

1. 現為證監會第1類牌照持有人，具備負責人員（RO）資格，為一重要優勢。
2. 持有工商管理、金融或相關商業學科之學士學位或以上學歷。
3. 具備6至10年金融機構營運、客戶開戶、認識你的客戶（KYC）及交易操作相關工作經驗，且必須擁有證券經紀行業之從業背景。
4. 熟悉《證券及期貨條例》（SFO）、財務申報規則（FRR）、相關監管機構之法規及指引，以及風險管理監控與合規事宜。
5. 精通書面及口語之粵語及普通話，能在交易時段高峰期於快速變化的環境中從容應對，並具備獨立工作及在壓力下有效執行職務之能力。

We offer attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present & expected salary and date of availability. To apply for this position, please click the “APPLY NOW” button.

All applications will be treated in the strict confidence and personal data collected will be used for recruitment purpose only.