Responsible Officer (1/4/9RO)

Leadingnation; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

Leadingnation in Hong Kong seeks a senior Operations Executive to lead strategic ops, risk, and compliance for back-office functions. The role requires steering client services, settlement, and trade operations, while ensuring regulatory adherence and scalable processes.

You will manage multiple teams, implement KPI frameworks, and drive automation to mitigate risk. Fluency in Cantonese, Mandarin and English is essential for cross-functional collaboration.

Qualifications

• Bachelor’s degree or higher in Finance, Accounting, Business Admin or related field.
• SFC-licensed RO experience and broad regulatory knowledge.
• 8–10 years operations experience in HK licensed financial institutions.
• 5+ years in senior management overseeing Client Services, Clearing & Settlement, and Trade Operations.
• Fluent in Cantonese, Mandarin and English.

Responsibilities

• Formulate and execute operations strategy to scale back-office functions and ensure efficiency, compliance, and scalability.
• Directly manage teams in Client Services, Clearing & Settlement, and Trade Operations.
• Oversee compliance, risk, and RO duties with regulatory reporting and remediation.
• Collaborate with front-office, risk, and IT on product launches and vendor management.

Skills

Team leadership

Strategic planning

Regulatory compliance

Cross-functional collaboration

Communication skills

Education

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

Job description

Job Responsibilities

1. Operational Strategy & Management

• 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.

2. Team Leadership & Talent Development

• 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.