核心职责

• 全面统筹交易后中后台结算流程，确保证券、债券等各类金融产品的交易结算准确、高效并符合监管要求。

• 根据高净值客户及大额交易的业务特点，制定并持续优化结算方案、操作流程及风险控制机制。

• 牵头规划和搭建交易结算基础设施，包括系统、流程、操作规范及内部控制体系。

• 负责与交易对手、托管银行、结算机构及其他外部合作方的沟通与协调，整合相关资源，建立高效、稳定的结算协作机制。

• 深入理解不同金融产品及底层资产的交易结构、结算逻辑和风险要点，建立标准化、可扩展的结算流程与操作规范。

• 统筹团队日常运营及任务分配，监督交易交收、资金及持仓核对、异常处理等关键环节，并有效管控全流程操作风险。

• 及时处理结算异常及突发事件，协调内部及外部相关方推动问题解决，保障业务连续性。

• 配合公司持牌业务运营及业务拓展需求，衔接前台业务与中后台职能，支持债券资本市场（DCM）、资产管理及经纪等核心业务稳健发展。

• 持续推动结算体系的标准化、自动化及效率提升，以满足公司未来业务扩张需求。

任职要求

• 本科或以上学历，金融、会计、经济或其他相关专业优先。

• 具备3至5年以上香港金融行业证券结算、交易后运营或相关全职工作经验；不单纯以从业年限为标准，更重视候选人的专业能力及项目实践经验。

• 深入熟悉香港证券市场的结算机制、操作规则及监管合规要求，精通证券、债券等主流金融产品的全流程结算操作及风险控制。

• 具备结算基础设施或中后台运营体系搭建、优化及落地经验，能够独立牵头推进结算流程标准化和运营效率提升项目。

• 拥有香港本地金融行业相关资源及合作网络，具备优秀的外部机构沟通协调、资源整合及合作关系管理能力。

• 具备团队管理经验，能够有效统筹团队工作、培养初级员工并推动团队能力建设。

• 熟悉香港证监会第1、4及9类受规管活动相关合规要求者优先。

Position Overview

The successful candidate will be responsible for overseeing the company’s post-trade operations and settlement functions, ensuring that all transactions are settled safely, accurately, efficiently, and in compliance with applicable regulatory requirements. The role will also support large-value transactions for high-net-worth clients.

This position currently manages one junior operations specialist. The team is expected to expand in line with the company’s business growth.

Key Responsibilities

• Oversee the end-to-end post-trade and settlement process for securities, bonds, and other financial products, ensuring accurate, efficient, and compliant settlement.

• Develop and continuously optimize settlement solutions, operational procedures, and risk-control mechanisms tailored to high-net-worth clients and large-value transactions.

• Lead the planning and development of the company’s settlement infrastructure, including systems, workflows, operating procedures, and internal control frameworks.

• Manage relationships and coordinate with counterparties, custodian banks, settlement institutions, and other external service providers to establish an efficient and reliable settlement network.

• Develop a thorough understanding of the transaction structures, settlement mechanics, and key risks associated with different financial products and underlying assets.

• Establish standardized, scalable settlement procedures and operating guidelines to support business growth.

• Manage the team’s day-to-day operations and work allocation, overseeing critical activities such as trade settlement, cash and position reconciliation, and exception handling.

• Identify and manage operational risks throughout the settlement lifecycle.

• Handle settlement exceptions and urgent operational issues, coordinating with internal and external stakeholders to ensure timely resolution and business continuity.

• Support the company’s licensing, regulatory, and business development requirements by connecting front-office activities with middle- and back-office functions.

• Provide operational support for the company’s core businesses, including Debt Capital Markets (DCM), asset management, and brokerage.

• Drive the standardization, automation, and continuous improvement of settlement processes to support the company’s future expansion.

Qualifications and Experience

• Bachelor’s degree or above, preferably in finance, accounting, economics, or a related discipline.

• 3 to 5 years of full-time experience in securities settlement, post-trade operations, or a related function within Hong Kong’s financial services industry. Professional expertise and hands-on project experience will be considered more important than length of service alone.

• In-depth knowledge of Hong Kong securities market settlement mechanisms, operating rules, and regulatory and compliance requirements.

• Strong hands-on experience in the end-to-end settlement and risk management of mainstream financial products, including securities and bonds.

• Proven experience in establishing, optimizing, and implementing settlement infrastructure or middle- and back-office operating frameworks.

• Ability to independently lead settlement standardization and operational efficiency initiatives from planning through implementation.

• An established network within Hong Kong’s financial services industry, together with strong capabilities in external stakeholder management, coordination, and resource integration.

• Previous team management experience, with the ability to allocate work effectively, coach junior employees, and develop team capabilities.

• Familiarity with the regulatory and compliance requirements applicable to the Hong Kong Securities and Futures Commission’s Type 1, Type 4, and Type 9 regulated activities is preferred.

• Detail-oriented and highly accountable, with strong risk awareness, resilience under pressure, problem-solving skills, and the ability to manage urgent or unexpected situations.

• Fluency in spoken and written Mandarin and English, with the ability to support daily business communication, cross-regional collaboration, and professional documentation.

• Cantonese language proficiency is advantageous.