Customer Services Lead

Leadingnation; Hong Kong; On-site; HKD 1,000,000 - 1,800,000; Full time

Job summary

Leadingnation in Hong Kong seeks an experienced regulatory leader to act as an SFC-approved Responsible Officer for Type 1 and Type 2 activities. You will provide governance, oversee compliance programs, and guide licensed client-support teams.

The role requires a bachelor’s degree and 7+ years in financial services, with strong knowledge of SFO/SFC rules, AML/CFT, and proven experience drafting policies and managing escalations. Excellent leadership skills are essential.

Qualifications

• SFC RO for Type 1 and Type 2 mandatory.
• Bachelor’s degree in Finance, Business Administration, Law, or related.
• 7+ years in financial services/brokerage with managerial experience over licensed teams.
• Strong knowledge of the SFO, SFC Code of Conduct, AML/CFT guidelines.
• Experience drafting/updating P&Ps in an SFC-licensed firm.

Responsibilities

• Act as SFC-approved RO for Type 1 and Type 2 activities and provide regulatory oversight.
• Establish, review, and maintain robust P&Ps in line with SFC requirements.
• Lead, mentor, and elevate a team of licensed client support professionals.
• Serve as senior escalation point for high-value client issues and disputes.
• Monitor KPIs/SLAs, optimize workflow, and coordinate with Compliance/Operations.
• Assist in handling SFC inquiries, inspections, audits, and licensing updates.

Skills

Leadership

Regulatory knowledge

Risk management

Problem solving

Education

Bachelor's degree in Finance, Business Administration, Law, or related

Job description

• Policies & Procedures Ownership: Establish
• Education & Experience: Bachelor’s degree
• Team Leadership: Lead, mentor, and elevate a team

Location: Hong Kong

Key Responsibilities

• Regulatory & Compliance Leadership: Act as an SFC-approved Responsible Officer (RO) for Type 1 and Type 2 regulated activities, exercising full RO duties and regulatory oversight upon appointment.
• Policies & Procedures Ownership: Establish, review, and maintain robust operational P&Ps, ensuring strict adherence to SFC requirements, client onboarding standards, record-keeping, and communication archiving.
• Team Leadership: Lead, mentor, and elevate a team of licensed client support professionals to deliver high-standard service excellence.
• Escalation & Dispute Resolution: Serve as the senior escalation point for complex client matters, including high-value account issues, client disputes, vulnerable client handling, and AML/fraud alerts.
• Operational Excellence: Monitor operational KPIs/SLAs, optimize workflow efficiency, and collaborate closely with Compliance, Operations, and Product teams on continuous process upgrades.
• Regulatory Relations: Assist in handling SFC inquiries, regulatory inspections, audits, and licensing updates

Requirements

• Licensing: Current SFC approval as a Responsible Officer (RO) for Type 1 and Type 2 regulated activities is mandatory .
• Education & Experience: Bachelor’s degree in Finance, Business Administration, Law, or a related discipline, with a minimum of 7 years of financial services/brokerage experience, including proven managerial experience over licensed teams.
• Regulatory Expertise: Strong working knowledge of the SFO, SFC Code of Conduct, AML/CFT guidelines, and hands-on experience in drafting/updating P&Ps within an SFC-licensed corporation.
• Problem Solving: Demonstrated capability in managing high-level complaint escalations and risk mitigation.