Description

• Lead and optimize the Operations team (trade support, settlements, reconciliations, corporate actions, etc.).
• Develop and implement scalable operational policies to support business growth.
• Ensure alignment with front-office (trading/sales) and middle-office (risk/compliance) teams .

• Oversee trade confirmation, settlement (DVP/RVP), and fails management for equities, fixed income, and derivatives.
• Monitor HKEX/CCASS, Euroclear, Clearstream, and global custodian interactions .
• Resolve discrepancies in trade matching, corporate actions, and proxy voting.

• Ensure adherence to SFC and HKEX regulations (e.g., Client Asset Rules, AML/CFT).
• Implement robust controls for operational risk, fraud prevention, and business continuity (BCP) .
• Liaise with internal audit, compliance, and external regulators for inspections.

• Drive automation (e.g., straight-through processing (STP), RPA, AI ) to reduce manual errors.
• Partner with IT to upgrade OMS, EMS, and post-trade systems (e.g., Bloomberg, FIX protocols).
• Optimize cost efficiency in brokerage, custody, and clearing fees.

• Act as the primary contact for prime brokers, custodians, and depository agents .
• Ensure high service levels for institutional clients, hedge funds, and private banking .
• Lead projects (e.g., new product launches, market expansions).

• 10+ years in securities operations , with 5+ years in a leadership role (preferably in a Hong Kong/SFC-licensed firm ).
• In-depth knowledge of:
  • Hong Kong/global securities markets (equities, bonds, derivatives).
  • SFC licensing requirements (Type 1, 2, 4, 9).
  • Settlement systems (CCASS, CMU, SWIFT, DTCC).
• Strong grasp of operational risk frameworks (Basel III, MAS, Dodd-Frank) .
• Proficiency in Cantonese and English (written/spoken); Mandarin is a plus.
• Degree in Finance, Business, or related field ; CFA/FRM/CPA preferred.