Operational Management & Risk Control 

•  Oversee daily brokerage operations including account opening, fund management, trade settlement, reconciliation, and transaction monitoring 

• Define and track KPIs to ensure service quality, timeliness, and internal control standards are met 

• Implement robust SOPs and risk controls in compliance with SFC, AML/CFT, and licensing requirements 

• Manage escalation and resolution of exceptions, disputes, and risk events 

Process Improvement & Technology Initiatives 

• Drive continuous process automation to reduce manual interventions and improve overall efficiency and risk controls 

•  Promote the establishment and enhancement of management data and operational reporting systems to help leadership monitor business performance and support informed decision-making 

•  Collaborate closely with Product and IT teams to upgrade back-office systems, reporting tools, and workflows 

Cross-functional Collaboration & Regulatory Support  

•  Work closely with Compliance and senior management to ensure operational alignment with regulatory expectations 

•  Support operational readiness for new business and product launches

•  Coordinate with Mainland and overseas shared service teams to ensure seamless cross-border execution 

• Participate in SFC inspections, business plan submissions, and internal audits as required 

Team Leadership 

• Lead and mentor the operations team (client support, middle office, settlements), setting clear goals and training programs 

•  Foster a proactive, accountable culture focused on problem-solving and service excellence