Director, Brokerage Wealth Management – HK Leader

CITIC Securities International; Hong Kong; On-site; HKD 1,800,000 - 3,600,000; Full time

Job summary

CITIC Securities International in Hong Kong seeks a senior leader to head the Retail & Corporate High Net Worth Brokerage team within Wealth Management. The role executes the sales strategy, ensures regulatory compliance, and builds a high-performance team to drive revenue growth.

You will partner with Compliance, Risk, Operations and cross-border group entities to maintain service quality, manage risk and optimize cross-sell opportunities.

Qualifications

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

Responsibilities

• Direct and lead the brokerage team to meet annual revenue targets; set and track KPIs for Account Executives; drive a high-performance culture and strategic initiatives.
• 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.

Skills

Leadership

Stakeholder management

Regulatory compliance

People development

Cross-border operations

Tri-lingual communication

Education

SFC licenses (Type 1,2 & 3)

Degree in related discipline

Tools

Compliance systems

Job description

CITIC Securities International in Hong Kong seeks a senior leader to head the Retail & Corporate High Net Worth Brokerage team within Wealth Management. The role executes the sales strategy, ensures regulatory compliance, and builds a high-performance team to drive revenue growth.

You will partner with Compliance, Risk, Operations and cross-border group entities to maintain service quality, manage risk and optimize cross-sell opportunities.