Chief Operations & Compliance Leader - Regulated Finance

Hong Kong Job Consulting; Hong Kong; Sur place; HKD 1 000 000 - 1 600 000; Plein temps

Résumé du poste

Hong Kong Job Consulting seeks a Chief Operating Officer to oversee all operational platforms, ensuring SFC Type 1, 2, 4, 5 and 9 activities are compliant. The role requires close collaboration with the Board to develop strategic plans and manage risk throughout the organization.

The COO will supervise compliance functions, implement internal controls, and guide establishment of core MIC functions. Strong leadership and Mandarin skills are essential.

Qualifications

• Minimum 10 years of solid experience in securities, futures and asset management.
• Current holder of SFC unconditional RO license for Types 1, 2, 4, 5 & 9 preferred.
• Strong knowledge of SFO, HK regulatory guidelines and risk management controls.

Responsabilités

• As Responsible Officer, supervise SFC Type 1, 2, 4, 5 & 9 activities.
• Collaborate with the Board to develop strategic plans and oversee compliance.
• Ensure all business activities comply with SFC rules and company guidelines.
• Advise on establishment of the company and core MIC function(s).
• Review strategies and monitor key strategic project implementations.
• Set up internal controls and risk management policies.
• Oversee trading, settlement, risk control and client service operations.
• Supervise daily securities brokerage operations and account maintenance.

Connaissances

SFC RO license

Regulatory compliance

Operations leadership

Risk management

English & Mandarin

Formation

Bachelor's degree in finance or business

Outils

SFO knowledge

HKEX regulations

Description du poste

Hong Kong Job Consulting seeks a Chief Operating Officer to oversee all operational platforms, ensuring SFC Type 1, 2, 4, 5 and 9 activities are compliant. The role requires close collaboration with the Board to develop strategic plans and manage risk throughout the organization.

The COO will supervise compliance functions, implement internal controls, and guide establishment of core MIC functions. Strong leadership and Mandarin skills are essential.