COO or Head of Operation

Hong Kong Job Consulting; Hong Kong; On-site; HKD 1,000,000 - 1,600,000; Full time

Job summary

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.

Responsibilities

• 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.

Skills

SFC RO license

Regulatory compliance

Operations leadership

Risk management

English & Mandarin

Education

Bachelor's degree in finance or business

Tools

SFO knowledge

HKEX regulations

Job description

Chief Operation Officer, Licensed Corporation

A full Licensed Corporation with RA1, 2, 4, 5 & 9, together with EAM (External Asset Management) business & Insurance Broker, is looking for a COO to oversee all the operation of her business platforms.

Responsibilities

• As a Responsible Officer to supervise SFC Type 1, 2, 4, 5 & 9 regulated activities;
• Work closely with the Board of Directors to develop the strategic plan;
• Oversee the compliance functions of the Company and take necessary actions to ensure all business activities comply with SFC rules and company guideline;
• Provide advice in the establishment of the whole company and be responsible of a core function(s) of MIC;
• Review existing strategies, propositions and tactical plans and monitor the implementation of key strategic projects;
• Help set up internal control system including the internal control manual for SFC and help manage risk management policies;
• Oversee overall business operations including but not limited to trading, settlement, risk control and client service related to securities, bonds, structured products, fund, etc.;
• Supervise and manage daily securities brokerage operations, including the account opening process, account maintenance and customer services;
• Monitor internet trades to ensure their compliance with internal guidelines and exchange regulations;

Requirements

• Minimum 10 years of solid experience in dealings of securities and futures and asset management;
• Current holder of SFC unconditional Responsible Officer license for Types 1,2,4,5 & 9 regulated activities preferred;
• Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities(such as SFC and HKEX) and risk management control;
• Solid understanding about middle and back office operations, risk controls and investment process of fund management companies;
• Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills;
• Good command of written & spoken English and Chinese (including Mandarin):
• Candidates with less experience will be considered as Head of Operation.