Director, Brokerage Business, Wealth Management

CITIC CLSA; Hong Kong; In loco; HKD 1.200.000 - 2.100.000; Tempo pieno

Descrizione del lavoro

CITIC CLSA in Hong Kong leads the Retail & Corporate HNW Brokerage team within Wealth Management. The role executes the overall sales strategy, ensures regulatory compliance, and drives revenue growth while developing products and channels.

Collaborating with Compliance, Risk, Operations and group entities, the role aims to deliver high service quality, manage risk, and optimize cross-sell opportunities. Leadership of AEs and talent development is essential.

Competenze

• Minimum 12-15 years in financial institutions with proven brokerage leadership.
• RO status under SFC/HK regulatory regimes; holds relevant licenses.
• Experience with cross-border/multi-market brokerage operations and channel development.

Mansioni

• Direct and lead the brokerage team to meet annual revenue targets and KPIs.
• Oversee branches’ activities, portfolios, and margin financing; ensure compliant trade execution.
• Maintain service standards and onboarding; manage risk and internal controls.
• Attract and retain AEs; conduct regular appraisals; build talent pipeline.
• Identify new products/services and distribution channels; expand partnerships.
• Uphold conduct standards; foster a compliant culture and risk management.

Conoscenze

Leadership

RO experience

Compliance governance

Cross-border operations

Formazione

Degree in related discipline

Descrizione del lavoro

• Direct and lead the brokerage team
• Degree holder in related discipline
• Maintain and update policies and controls

Job Description

Position Description

To lead the Retail & Corporate High Net Worth (HNW) Brokerage team in our Wealth Management (WM) Business in Hong Kong, execute the overall sales strategy, ensure regulatory compliance and robust internal controls, drive revenue growth, develop products and channels, and build a high-performance team. This role partners with compliance, risk, operations, and group entities to maintain service quality, manage risk, and optimize cross-sell opportunities.

Key Areas of Responsibilities

Direct and lead the brokerage team to meet annual revenue targets; set and track KPIs for Account Executives (AEs); drive a high-performance culture and strategic initiatives (e.g., new products and channels).

Oversee branches’ activities and transactions; support portfolios and margin financing; ensure timely inquiries, onboarding, and compliant trade execution; maintain service standards.

Attract and retention of AEs; conduct regular appraisals; build talent pipeline and succession planning.

Identify new products/services and distribution channels; build partnerships; maximize any selling opportunities.

Uphold conduct standards for RHNW team; promote a strong compliance culture; oversee internal controls and training, risk management, incident handling, and complaint resolution.

Maintain and update policies and controls; optimize organizational structure and resourcing; act as gatekeeper for due diligence and risk assessments.

Maintain relationships with management team, regulators and group entities; ensure licensing compliance; coordinate with Compliance, Risk, and Internal Audit; align cross-border standards.

Deliver timely management reporting; leverage analytics for decision-making; accountable for revenue achievement, compliance, risk management, service quality, and talent development.

Requirements

Degree holder in related discipline with minimum 12-15 years’ relevant experience in financial institutions with proven leadership in brokerage or related financial services.

Track record as responsible officer (RO) and managing brokerage activities under SFC/HK regulatory regimes; holds SFC Type 1, 2 & 3 licenses; Insurance licenses.

Experience in Account Executives (AEs) business model; cross-border/multi-market brokerage operations; branding, product promotion, and distribution channels (including digital platforms).

Strong governance, integrity, and ability to foster a compliant culture; proven success in building and leading high-performing teams.

Strategic thinking, stakeholder management, negotiation, risk management, financial acumen, plus people development and coaching.

Excellent interpersonal and tri-lingual communication skills is a must

Self-motivated and able to manage multiple priorities; comfortable participating in leadership team meeting and delivering results in a fast-paced environment.