About the Role:
We are seeking a highly experienced and driven Head of Operations to lead and manage our traditional brokerage services and managing the development of our diverse business portfolio, encompassing External Asset Management (EAM), Wealth Management, and Asset Management. This role requires a seasoned professional with a deep understanding of both dealing desk and risk management within the brokerage industry. The successful candidate will be responsible for the overall operational efficiency, regulatory compliance, and strategic direction of the team.
Responsibilities:
61 Team Leadership and Management: Oversee a team of professionals responsible for both dealing and risk management functions. Provide mentorship, guidance, and performance management to team members. Foster a collaborative and high-performing work environment.
61 Operational Efficiency: Develop and implement strategies to optimize operational workflows, enhance efficiency, and reduce operational risks across dealing and risk management functions. This includes process improvement initiatives, technology implementation, and resource allocation.
61 Risk Management Oversight: Ensure the effective implementation and ongoing monitoring of risk management policies, procedures, and credit controls. This includes market risk, credit risk, and regulatory compliance. Stay abreast of evolving regulatory requirements and industry best practices.
61 Proven experience in EAM operations;
61 Dealing Desk Management: Oversee the daily operations of the dealing desks, ensuring smooth and efficient execution of trades. Monitor trading activity, identify and mitigate potential risks, and ensure accurate record-keeping.
61 Strategic Planning: Contribute to the development and implementation of the firm's overall operational strategy, aligning operational goals with the company's broader business objectives.
61 Technology and Systems: Evaluate and recommend improvements to existing technology and systems used by operations teams. Stay informed about industry trends and technological advancements.
61 Offer comprehensive and professional support to the operations team in addressing and resolving client inquiries, requests, and complaints;
61 Handle ad hoc tasks as assigned.
Qualifications:
61 Bachelor's degree in finance, business administration, or a related field.
61 Extensive experience (5+ years) in the brokerage and/or EAM industry, with a proven track record of success in managing a small team managing multiple functions across a brokerage firm
61 Possession of SFC Licenses RA 1 & 9 is a must, with RA 2 & 4 is an advantage;
61 Deep understanding of dealing desk operations and risk management, including market risk, credit risk, and operational risk.
61 Strong knowledge of relevant regulations and compliance requirements applicable to SFC-licensed corporation.
61 Excellent leadership, communication, and interpersonal skills.
61 Ability to work independently and as part of a team.
61 Strong analytical and problem-solving skills.
61 Proficiency in relevant software and systems (i.e. experience with Hundsun Ayers is a plus) used in the brokerage industry.
61 Excellent command of both spoken and written English and Cantonese is essential; proficiency in Mandarin is an added advantage.
61 Proficient in MS Word, Excel, PowerPoint, and Chinese Word Processing.