About the Role

cedures and SOPs, covering trade support, settlement, corporate actions, and client reporting across all regulated activities (Securities, Futures, Asset Management).

• Oversee the end-to-end operational lifecycle for both securities (Type 1) and futures (Type 2), including trade confirmation, margin calls, and daily and monthly settlement with clearing houses.

• Act as the central nervous system between Front Office, Finance, Treasury, and Client Services. Ensure seamless end-to-end processing, removing friction and closing communication gaps between teams.

• Maintain expert-level knowledge of SFC Fund Manager Code of Conduct and licensing requirements (Types 1,2,4,9). Proactively integrate compliance checkpoints into operational workflows to ensure zero-tolerance for regulatory breaches.

• Partner with senior management to evaluate, select, and implement operational tools and systems (e.g., OMS, portfolio management systems) to automate workflows and support business scaling.

• Conduct deep-dive analyses of operational bottlenecks and throughput. Provide management with clear, data-backed insights and strategic recommendations to enhance efficiency and control.

• Take full ownership of the technical and administrative support framework for our regulated activities, acting as the final internal escalation point for complex operational issues.

• Lead strategic operational projects as directed by senior management, including new product launches or system implementations.

Requirements

• Minimum 5-7 years of hands-on operations experience within a Hong Kong financial institution, specifically in brokerage or asset management. Experience with both SFC Type 1 and Type 2 operations is a distinct advantage.

• As we evaluate expansion into Virtual Assets (VA), candidates with VA operational experience will have a definite advantage in contributing to future business initiatives.

• Demonstrated experience in building processes, writing procedures, or implementing operational systems from the ground up. You don't just follow the playbook; you write it.

• Deep, practical understanding of SFC licensing requirements, particularly those impacting daily operations. You understand why a rule exists, not just what the rule is.

• You possess the maturity, communication skills, and strategic mindset to eventually lead and mentor a team.

• Familiarity with OMS platforms, Bloomberg AIM, or specific local broker back-office systems is an advantage.

• Fluent in English, Cantonese, and Mandarin, with the ability to translate complex technical issues for business heads and vice-versa.