(Senior) Client Services Manager - Clearing & Settlement Operations

Responsibilities

• Act as the primary Risk & Compliance representative for Clearing & Settlement Operations Department
• Responsible for the robust monitoring of operational controls, RCSA, Nearshoring FrameWork and overseeing the end-to-end handling of client complaints. 
• Ensure absolute accuracy and timely delivery of all client-facing trade documentation, including confirmations, statements, and settlement instructions related to derivatives and structured products. · Oversee the transparent communication of fees, charges, and value adjustments resulting from trade or settlement discrepancies. 
• Act as Complaint Handling Officer to lead and manage the Client Complaint Handling process, ensuring timely investigation, resolution, and reporting.
• Analyze complaint trends to identify root causes and recommend process improvements to enhance the client experience.
• Perform daily control functions to ensure settlement operations are executed within the defined risk appetite.
• Oversee and complete general departmental administration tasks to ensure smooth daily operations.
• Promote a culture of risk awareness and compliance excellence within the CSOD.
• Conduct performance reviews and foster a culture of professional development.

Requirements

• Degree Holder in Risk Management, Business Administration or other relevant disciplines,
• Minimum of 5 years of progressive experience in financial services operations, with a mandatory focus on leading and managing Risk and Control for operational functions within a major financial institution. 
• Product Knowledge: general understanding of the trade life cycle, settlement related reconciliation, regulatory requirement, HKMA , SFC under control framework.
• System Proficiency: Hands-on experience with operations Risk systems 
• Specialized Skills: Proven track record in managing Risk and Control culture and Compliant Management
• Promote Risk and Control 
• Proficiency in control and monitoring tools: JIRA, RCSA frameworks, and Control Log Sheets.
• Regulatory Knowledge: Comprehensive knowledge of the Securities and Futures Ordinance (SFO), Banking Ordinance, and HKMA regulatory guidelines regarding operational risk and fair treatment of customers.
• Fluent in English and Chinese (Cantonese & Mandarin)