Head of Operations | Securities Firm
Our client, a leading Chinese Securities firm are looking for a Head of Operations that will lead and oversee the firm's middle and back-office functions across all business lines, including securities brokerage, investment banking, asset management, and wealth management. This role is critical in ensuring operational excellence, regulatory compliance, and the successful execution of cross-border business strategies.
What does the role involve?
Strategic Leadership:
- Develop and implement operational strategies aligned with the firm's business goals.
- Lead transformation initiatives to enhance operational efficiency and scalability.
Operational Oversight:
- Manage daily operations including trade settlement, clearing, corporate actions, and cash management.
- Oversee client onboarding, KYC/AML processes, and regulatory reporting.
Risk & Compliance:
- Ensure full compliance with SFC (HK), CSRC (China), and international regulatory standards.
- Design and implement robust risk management and internal control frameworks.
Technology & Innovation:
- Drive digital transformation and automation of operational workflows.
- Collaborate with IT to optimize infrastructure and support new product launches.
Team Leadership:
- Build, mentor, and lead high-performing operations teams across regions.
- Foster a culture of accountability, continuous improvement, and operational excellence.
Stakeholder Engagement:
- Act as a key liaison with regulators, auditors, and internal business units.
- Support strategic initiatives such as M&A integration and cross-border expansion.
What experience do you need?
- 15+ years of experience in operations within securities or investment banking.
- Proven leadership in managing cross-border operations and regulatory compliance.
- Strong knowledge of equity/fixed income products, settlement cycles, and market infrastructure.
- Professional certifications such as CFA, FRM, or MBA are preferred.
- Fluency in Mandarin and English; Cantonese is a plus.
What next?
For more information please send your CV or by applying to this advert
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