Operation Manager

Mega Global Securities Limited; Hong Kong; On-site; HKD 900,000 - 1,200,000; Full time

Benefits offered by this job

Competitive salary

Year-end bonus

Medical insurance

MPF

Paid annual leave

Licensing examination sponsorship

Job summary

Mega Global Securities Limited seeks an experienced Operations Leader to oversee day-to-day activities across securities trading, clearing, settlement, fund transfer and client account management in Hong Kong.

You'll develop SOPs, lead an operations team, ensure compliance with SFC regulations, implement AML/KYC, and drive system enhancements for efficiency and continuity. Strong cross-unit coordination and bilingual communication are required.

Qualifications

• Bachelor's degree or above in Finance, Economics, Accounting, Business Administration, or related field.
• Minimum 5 years of operations management experience in securities or financial services.
• At least 2 years of team management experience.
• Familiarity with HK securities lifecycle: trading, settlement, custody.
• HKSI licenses mandatory (e.g., Paper 1, Paper 7).

Responsibilities

• Oversee day-to-day operations across all units to ensure timely trade processing.
• Develop SOPs and internal controls in line with SFC rules and company policy.
• Monitor key metrics and promptly resolve operational anomalies.
• Lead the operations team, including rostering, performance appraisal, and training.
• Coordinate across brokerage, sales, trading and client services; liaise with HKEX/CCASS and regulators.
• Implement AML/KYC and suitability processes at the operational level.
• Develop and maintain the Business Continuity Plan and manage vendors.

Skills

Operations leadership

Team management

Regulatory compliance

Cross-unit coordination

Bilingual communication

Education

Bachelor's degree or above in Finance/Business/Accounting

Job description

Oversee day-to-day operations across all business units, including securities trading, clearing and settlement, fund transfer, and account management to ensure smooth, accurate, and timely processing.

Develop and maintain operational policies, standard operating procedures (SOPs), and internal control mechanisms in compliance with SFC regulatory requirements and company policies.

Monitor key operational metrics (e.g., trade processing turnaround time, error rate, settlement success rate), and promptly identify and resolve operational anomalies.

Manage the operations team, including rostering, performance appraisal, training, and development, to ensure the team maintains sufficient professional competence.

II. Business Division Coordination

Coordinate directly across all business units (brokerage, sales, trading, client services) to ensure seamless workflow, consistent standards, and timely resolution of cross-unit issues.

Serve as the single point of contact for operational matters within the business division, aligning priorities and resources across teams.

Liaise with external institutions including the Hong Kong Stock Exchange (HKEX), the Central Clearing and Settlement System (CCASS), custodian banks, and regulatory authorities to maintain strong working relationships.

Lead the handling of client complaints, trade disputes, and exceptional incidents, organizing internal investigations and driving corrective actions.

III. Compliance & Risk Management

Ensure all operational activities strictly comply with the SFC Code of Conduct, the Securities and Futures Ordinance, and relevant regulatory requirements.

Implement anti-money laundering (AML), client due diligence (KYC), and suitability management processes at the operational level.

Conduct regular operational risk self-assessments, submit risk reports to management, and follow up on rectifications required by regulatory inspections and internal audits.

IV. System & Process Improvement

Evaluate the efficiency of existing operational systems (trading system, OMS, settlement system, CRM, etc.) and propose optimization or upgrade requirements.

Lead or participate in operational readiness for new business lines and product launches, including process design, system testing, and staff training.

Promote digitalization and automation of operations to reduce manual processing risk and improve efficiency.

V. Business Continuity Management

Develop and maintain the Business Continuity Plan (BCP), organize regular drills, and ensure business continuity in the event of system failures or emergencies.

Manage vendors and third-party service providers related to operations, assessing their service quality and compliance.

Requirements

Education & Experience

Bachelor's degree or above in Finance, Economics, Accounting, Business Administration, or a related discipline.

Minimum 5 years of operations management experience in the securities or financial services industry, including at least 2 years of team management experience.

Familiarity with the full lifecycle of Hong Kong securities market trading, settlement, and custody. Prior experience at an SFC-licensed corporation is highly preferred.

Professional Qualifications (Mandatory)

HKSI relevant licenses are mandatory (e.g., Paper 1, Paper 7, etc.), with SFC-recognized professional qualifications.

Professional Knowledge

Solid understanding of the SFC regulatory framework and relevant legislation (Securities and Futures Ordinance, Code of Conduct, AML/KYC requirements, etc.).

Familiarity with HKEX trading rules, CCASS settlement procedures, and securities delivery mechanisms.

Basic understanding of core brokerage systems (trading platform, settlement system, risk management system).

Strong coordination and organizational skills, with the ability to align multiple business units and manage competing priorities effectively.

Excellent problem-solving skills and the ability to make sound decisions under pressure.

Strong communication skills in English, Cantonese, and Mandarin, with the ability to interact effectively with all levels and external parties.

Meticulous, highly responsible, and risk-conscious.

What We Offer

Competitive salary and year-end bonus

Comprehensive benefits package (medical insurance, MPF, paid annual leave, etc.)

Professional training and licensing examination sponsorship