Responsible Officer (1/4/9RO)

Fosun Wealth Holdings; Hong Kong; On-site; HKD 1,200,000 - 1,800,000; Full time

Job summary

Fosun Wealth Holdings in Hong Kong seeks an experienced Senior Operations Leader to partner with senior management to formulate scalable, compliant middle- and back-office strategies. You will oversee daily client services, settlement, onboarding and trade operations, drive automation, and establish KPI frameworks to support growth with resilience and efficiency.

The role requires 8–10 years in financial operations in HK, SFC RO experience, and fluency in Cantonese, Mandarin and English; strong

Qualifications

• Bachelor's degree in Finance, Accounting, Business Administration, or related discipline; Master's preferred.
• Current or former SFC-licensed Responsible Officer (RO) with knowledge of Regulated Activities Type 1, 2 and 4.
• Minimum 8–10 years of operations experience in HK-licensed financial institutions, with 5+ years in senior management.
• Fluency in Cantonese, Mandarin, and English.
• Deep understanding of Hong Kong securities market and SFC requirements.

Responsibilities

• Partner with senior management to formulate and execute operational strategies.
• Oversee day-to-day processes: client services, settlement, fund clearing, onboarding, maintenance.
• Drive digital transformation via automation to boost efficiency and cut risks.
• Directly manage teams across Client Services, Clearing & Settlement, and Trade Operations.
• Establish KPI frameworks, conduct performance reviews, and build succession pipelines.
• Organize cross-functional training on regulatory requirements, product knowledge, and systems.
• Collaborate with front-office, risk, and IT for new product launches and bids.
• Coordinate with internal audit, compliance, and regulators on records and reports.
• Participate in budget planning and optimize vendor management.
• Represent Operations in client tenders and onboarding negotiations.

Skills

People leadership

Operations management

Regulatory compliance

Process optimization

Stakeholder collaboration

Performance management

Cross-functional leadership

Risk management

Cantonese

Mandarin

English

Education

Bachelor's degree in Finance/Business

Master's degree preferred

Job description

• Partner with senior management to formulate and execute operational strategies, ensuring middle- and back-office functions are efficient, compliant, and scalable to support the company's business growth objectives.
• Oversee day-to-day operational processes, including but not limited to: client services, trade settlement, fund clearing, account onboarding and maintenance, and trade operations.
• Drive digital transformation of operations by introducing automation tools to enhance processing efficiency and mitigate operational risks.
• Directly manage team leads and staff across Client Services, Clearing & Settlement, and Trade Operations departments.
• Establish key performance indicator (KPI) frameworks, conduct regular performance reviews, identify high-potential talent, and build succession pipelines.
• Organize cross-functional training programs to ensure team members are up to date with the latest regulatory requirements, product knowledge, and system operations.

3. Compliance & Risk Management

• Act as the Responsible Officer (RO) and assume corresponding statutory duties, ensuring all operational activities comply with the SFC Code of Conduct, Anti-Money Laundering Guidelines, and other relevant regulations.
• Conduct regular reviews of operational risk exposures (e.g., settlement failures, escalated client complaints, system outages), develop contingency plans, and drive remediation initiatives.
• Coordinate with internal audit, compliance teams, and external regulatory inspections by providing complete operational records and reports.

4. Cross-Functional Collaboration & Project Support

• Collaborate closely with front-office sales, trading, risk management, and IT departments to ensure seamless back-office process integration for new product launches (e.g., IPO subscriptions, structured products, Cross-boundary Wealth Management Connect).
• Participate in annual budget planning, manage operational costs, and optimize vendor management (e.g., banks, custodians, technology providers).
• Represent the Operations function in major client tenders and institutional onboarding negotiations, demonstrating operational capabilities and resilience.

Qualifications

• Bachelor's degree or above in Finance, Accounting, Business Administration, or a related discipline; Master's degree preferred.
• Current or former SFC-licensed Responsible Officer (RO), with in-depth knowledge of operational compliance requirements under Regulated Activities Type 1, 2, and 4.
• Minimum 8-10 years of operations experience within Hong Kong licensed financial institutions, including at least 5 years in senior management roles with direct oversight of Client Services, Clearing & Settlement, and Trade Operations teams.
• Fluency in Cantonese, Mandarin, and English.
• Deep understanding of the Hong Kong securities market and specific SFC operational requirements.
• Proven crisis management capabilities, with the ability to respond calmly to extreme market conditions, settlement pressures, client withdrawal surges, or system failures.
• Strong resilience and multitasking skills, with the ability to maintain consistent performance in a fast-paced, dynamic market environment.
• Excellent communication and coordination skills, capable of balancing front-office business demands with back-office compliance and risk control requirements.
• Results-driven, detail-oriented, data-sensitive, with strong report-writing and analytical capabilities.