Job Summary

Reporting to the CEO, the ideal candidate will oversee all operational activities within the organization, including compliance, operations, IT and other duties. This role is responsible for ensuring the efficient execution of processes, adherence to regulatory standards, and the maintenance of high-quality client interactions. The incumbent will lead initiatives to optimize operational performance, foster a positive work environment, and ensure that organizational objectives are met in a timely and professional manner.

Key selling points

• A leading high net worth insurance broker and family office in HK

• Direct reporting to CEO; opportunity to build legacy

• Opportunities for professionals to gain regional experience

Job Responsibilities:

1. Compliance

· Serve as the MIC for Compliance function with Anti-Money Laundering & Counter-Terrorism Financing (AML & CTF).

· Maintain the Compliance Manual and relevant controls.

· Monitor best execution practices for structured product trades.

· Review and approve personal dealing requests.

· Oversee retrocession disclosures.

· Monitor completion of Continuing Professional Training (CPT) for licensed representatives.

· Manage liquid capital monitoring.

· Complete the annual Business & Risk Management Questionnaire.

2. Operations

· Act as the MIC for Operational Control & Review of the Company.

· Keep monitoring and maintaining client relationships to foster a strong and enduring partnership

· Maintain client agreements and relevant forms.

· Oversee fund operations in collaboration with relevant department.

· Handle referral agreements.

3. Miscellaneous

· Serve as the MIC for IT and relevant technical supports.

· Monitor vendor service quality.

· Oversee company secretarial matters in collaboration with parent company.

· Manage operations for the Chengdu subsidiary with assistance from parent company.

· Oversee operations for the Vietnam subsidiary.

Requirements:

> Bachelor’s degree in finance, Business Administration, or a related field.

> 5-10 years of experience in a senior operations role in EAM, preferably with background of finance or compliance.

> Strong understanding of financial management and compliance regulations.

> Excellent analytical and problem-solving skills.

> Proven ability to work under pressure and manage multiple priorities.

> Strong interpersonal skills, and a team player.

> Proficient in Microsoft Office Suite (Word, Excel, PowerPoint) and relevant financial software.

> Excellent command of both written and spoken English and Chinese.