Vice President, Operations (Securities Brokerage)

Responsibilities

• Oversee operational activities of securities business, including dealing, settlement, finance, risk management, compliance, with SFC Core Functions Manager-In-Charge responsibilities

• Oversee business development projects and to manage timelines, resources, and budgets effectively

• Foster collaboration, work closely with key stakeholders and take proactive measures to ensure front, middle and back-office operations are carried out efficiently and effectively for the business

• Ensure the corporation fully complies with the relevant SFO and Exchange rules and regulations

• Establish effective internal control policies and systems for the corporation’s operations, and optimize operational procedures constantly

• Drive sustainable growth, minimize costs, and to promote operational excellence.

Requirements

• Minimum 5 years of relevant experience working in licensed corporations/ financial institution with operational experience or prior experience as a COO

• Possess strong management and operational capabilities, with in-depth knowledge of back-office operations and risk management for global markets

• With comprehensive understanding of SFC/HKMA rules and regulations with ability to comply with the relevant SFO and Exchange rules and regulations

• Knowledgeable in the applications of financial technology utilized in securities trading systems, including project management experience with system testing and development