Operation Director is responsible for the smooth operation of Group businesses in Hong Kong.
Responsibilities
Manage client onboarding process, perform document checking and ensure proper maintenance client static data in in-house system and physical record keeping of clients and company agreements, internal and external client forms.
Manage daily operation flows and work with Front Office to ensure clients’ transactions and holdings are captured in in-house system. Responsible for managing the transactions capture and upload process, daily/ regular reconciliation of positions and transactions with custodian banks, preparation and dispatch of Type 1 & 9 client statements in line with SFC requirement.
Liaise with custodian banks and other business counterparts to maintain excellent client servicing to clients and smooth internal operations.
Work with Group IT team to continuously streamline and automate daily operations in in-house system.
Work with Group Investment team and perform investment product master maintenance in in-house system; perform product due diligence where required and ensure all relevant product details are kept up to date.
Perform regular reviews of processes and procedures and ensure the implementation of appropriate control measures and procedures to enhance process efficiency and effectiveness.
Assist on annual auditing preparation and facilitate the audit process; assist on SFC inspection preparation and SFC queries, facilitate the inspection process.
Requirements
Relevant degree with 8+ years of experience in licensed corporations (Type 1, 4, 9).
Experience in securities brokerage, setting up funds structure (LPF, OFC, Cayman SPC) and funds operations, and EAM platform required; MIC of operations control & review and/or risk management preferred.
Experience in private banking operations preferred but not mandatory.
Excellent knowledge of markets and investment products.
Excellent communication and interpersonal skills.
Independent with strong sense of accountability and teamwork.