Head of Operations

Our client is a leading firm in the financial services industry. They specialize in providing a wide range of services, including brokerage, asset management, and advisory solutions. With a focus on compliance and client satisfaction, they support both individual and institutional clients in their investment needs.

Responsibilities

• Develop and refine operational frameworks, policies, and procedures for trade settlement, account management, fund valuation, and administration, ensuring compliance with relevant regulatory standards
• Manage cash transfers and daily settlement instructions to facilitate smooth trade execution.
• Monitor settlement systems in collaboration with external institutions and custodian banks to ensure operational resilience, mitigate risks, and enhance settlement capabilities in line with business growth objectives.
• Ensure the safeguarding of client assets under custody in accordance with regulatory requirements. Maintain AML and legal compliance during the processing of deposits, withdrawals, and transfers to minimize regulatory risks.
• Work closely with the Middle Office, Legal & Compliance, Risk Management, ALM, and Front Office teams to enhance team effectiveness and improve operational efficiency.

Requirements:

• Bachelor’s or Master’s degree in Finance, Economics, or Business from a leading institution.
• Over 10 years of experience in licensed operations or administration within brokerages, investment banks, or private equity funds.
• Comprehensive knowledge of investment banking, direct investments, asset management, and related financial products.
• Demonstrated ability to lead teams in executing both routine and ad-hoc internal and external tasks.
• Strong sense of accountability, logical reasoning, resilience, and excellent communication skills. Fluency in Mandarin, Cantonese, and English is essential.