Director, Brokerage Wealth Management – HNW (HK)

CLSA; Hong Kong; On-site; HKD 1,800,000 - 3,000,000; Full time

Job summary

CLSA in Hong Kong is seeking a leader to head the Retail & Corporate High Net Worth Brokerage team within Wealth Management. You will execute the sales strategy, ensure regulatory compliance, drive revenue growth, and build a high-performance team across multiple channels.

The role requires 12–15 years in financial services with proven RO experience, SFC licenses, and a track record in brokerage operations.

Qualifications

• Minimum 12–15 years’ 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; holding 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.

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 retain AEs; conduct regular appraisals; build talent pipeline and succession planning.
• Identify new products/services and distribution channels; build partnerships; maximize 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; 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

Brokerage leadership

Regulatory compliance

Risk management

Cross-border brokerage

Team development

Education

Bachelor's degree in finance or related field

Job description

CLSA in Hong Kong is seeking a leader to head the Retail & Corporate High Net Worth Brokerage team within Wealth Management. You will execute the sales strategy, ensure regulatory compliance, drive revenue growth, and build a high-performance team across multiple channels.

The role requires 12–15 years in financial services with proven RO experience, SFC licenses, and a track record in brokerage operations.