GM, Broker Dealer Business

Olive Asset Management; California; On-site; USD 180,000 - 240,000; Full time

Job summary

A leading asset management firm in California is seeking a Director to oversee the product framework for U.S. market offerings. You will establish and manage comprehensive lifecycle mechanisms for equity offerings, market funds, ETFs, and structured products, ensuring compliance with SEC/FINRA regulations. The ideal candidate will facilitate cross-regional collaboration and optimize operational workflows. This full-time position provides an opportunity to shape strategic initiatives within a dynamic finance sector.

Qualifications

• Experience in product framework development for equity offerings and market funds.
• Strong understanding of SEC/FINRA regulations.
• Ability to drive cross-regional collaboration.

Responsibilities

• Define and structure product framework for U.S. market offerings.
• Establish full lifecycle management for U.S. products.
• Drive global collaboration and oversee compliance reviews.
• Oversee product launches and compliance reviews under the U.S. licensing structure to ensure alignment with SEC/FINRA regulations.
• Work proactively with internal Legal, Compliance, and Operations teams to refine and improve product documentation, transaction instructions, and customer disclosures.
• Optimize system and operational workflows to ensure smooth end‑to‑end execution from product initiation to transaction settlement.
• Build and maintain relationships with major local counterparties, including U.S. brokers, fund managers, custodians, and clearing agents.
• Standardize channel onboarding criteria, contract negotiation, and signing processes to ensure process consistency and risk control.
• Develop strategic cooperation frameworks that enhance resource sharing and operational efficiency across business lines.
• Formulate the U.S. sales planning framework and performance metrics (KPIs) aligned with the firm’s global product strategy.
• Design sales cadence and client engagement plans to support relationship managers in product roadshows, solution advisory, and client follow‑ups.
• Establish a feedback and review mechanism within the U.S. region to perform quarterly retrospectives and generate product enhancement proposals.

Job description

Role Overview

Produce and manage product framework for U.S. market covering primary equity offerings, secondary market funds, ETFs, and structured products. Establish full lifecycle management mechanism for U.S. products and drive cross-regional product collaboration.

Key Responsibilities

• Define and structure product framework for primary equity offerings, secondary market funds, ETFs, and structured products in the U.S. market.
• Establish a full life‑cycle management mechanism for U.S. products, including product introduction, evaluation, compliance review, and launch procedures.
• Drive cross‑regional product collaboration to enable a global product pool shared across Hong Kong, Singapore, and the U.S., while supporting local adaptation and execution.
• Oversee product launches and compliance reviews under the U.S. licensing structure to ensure alignment with SEC/FINRA regulations.
• Work proactively with internal Legal, Compliance, and Operations teams to refine and improve product documentation, transaction instructions, and customer disclosures.
• Optimize system and operational workflows to ensure smooth end‑to‑end execution from product initiation to transaction settlement.
• Build and maintain relationships with major local counterparties, including U.S. brokers, fund managers, custodians, and clearing agents.
• Standardize channel onboarding criteria, contract negotiation, and signing processes to ensure process consistency and risk control.
• Develop strategic cooperation frameworks that enhance resource sharing and operational efficiency across business lines.
• Formulate the U.S. sales planning framework and performance metrics (KPIs) aligned with the firm’s global product strategy.
• Design sales cadence and client engagement plans to support relationship managers in product roadshows, solution advisory, and client follow‑ups.
• Establish a feedback and review mechanism within the U.S. region to perform quarterly retrospectives and generate product enhancement proposals.

Senior Level

• Director

Employment Type

• Full‑time

Job Function

• Finance