Operations Manager (Broker Team)

Responsibilities:

• Manage and overlook the team to provide operational functions and drive continuous improvement on current procedures under retail distribution and asset management units

• Ensure Anti-Money Laundering (AML) and Know-Your-Client (KYC) requirements are properly implemented

• Ensure transactions to be implemented with the company’s procedures in a smooth and timely manner

• Provide analysis, support and challenge on operational risk related matters at local business units

• Responsible for various operations activities including settlement, account opening, corporate actions as well as dealing with external providers such as fund administrators, custodians, prime brokers, insurance providers, fund houses, MPF providers etc., on a daily basis

• Provide sales supports and coordinate with the services providers

• Work closely with Compliance to support middle and back office functions

• Coordinate with various parties on company events and functions

• Assist in ad-hoc project as required

Requirements:

• 5 Years relevant working experience or above

• Degree Holder or above with relevant experience in sale administration or customer services or operations

• Possess IIQAS license (paper 1,3, & 5) and/ or SFC license (paper 1,7, & 8) are preferred

• Proficiency of English, Cantonese, and Mandarin

• Ability to work with a high degree of accuracy and attention to details

• Able to work under pressure and with tight time line

• Initiative, cheerful and able to work independently

• Good interpersonal and communication skills

• Proficient in MS Office applications

Please submit your full resume with current and expected salary. 

All information provided will only be used for recruitment purpose