SEEK Asia Style Guide

Head of Operations / Acting as Head of Brokerage (Sales Role - SFC Licensed 1,2,4,5,6, 9 Brokerage)Harbridge Partners Limited
Head of Operations / Acting as Head of Brokerage (Sales Role - SFC Licensed 1,2,4,5,6, 9 Brokerage)Harbridge Partners Limited

Job Highlights

  • brokerage,SFC,Dealer,Operations,Sales,Equities,OTC
  • head brokerage,sales manager,broker,online,HK,PRC
  • mandarin,retail,institutional,shares,stock,futures

Job Description

Title:   Executive Director, Operations / Head of Brokerage

Location:      Central

Remuneration: Negotiable


Client Description:

Our client is a full-service integrated banking group and SFC licensed securities business with a sizeable asset management arm. Due to changing business needs and expansion it is now seeking a Head of Brokerage who will take over the reigns of both the operations and sales side of the brokerage business.

Prior experience of working in a similar PRC owned brokerage and finance house, and fluency in spoken Mandarin and reading and writing in Chinese is a must.



  • Strong Brokerage Operations Background with SFC licensed entities: 1, 2,4,5,6 & 9
  • Online Trading Platform Experience with setting up either a fully automated online brokerage platform for the retail and institutional client side, including HK -Shanghai Connect and overseas stock brokerage facilities as next steps of the firm’s growth.
  • Work with legal, compliance and other support staff across the region and in the other regions to advise on and address cross-jurisdictional operational and compliance issues
  • Advise business line management and assist in providing solutions to potential problems or issues involving all areas of Operations including, Sales & Trading, Orders/ Dealing, Settlements, and Back Office
  • Strong Operations Mindset but ideally with some Business Development or Sales Experience and can manage the Business Development side
  • Review and approve marketing materials, business plans and set firm-wide sales targets 
  • Ideally comes from a dealer, operations or Brokerage Ro background with Types 1,2,4 licences or eligible to get such licences.
  • Strong understanding of all online traded brokerage products from equities, bonds/ fixed income, derivatives, FX and OTC traded products: notes, swaps, futures, etc
  • Good understanding of leveraged products i.e. Equities margin financing
  • Strong technology expertise and understanding of various brokerage trading platforms and software including online execution and payment 
  • Provide support and strategic initiatives to Group Corporate level and senior management


  • Minimum of 7 -15 years of relevant experience in a HK, SFC licensed online broker with sizeable trading volumes
  • Previous sales and trading set-up expertise as well as deliver profit for the brokerage business
  • Other typical requirements, such as good degree from a well-known University, fluent in English, and must have Mandarin / Cantonese proficiency (reading and speaking).


  • Strong state -backed and friendly company culture.
  • Competitive remuneration.
  • Superb Career Progression for the right individual

 Keywords search:

Broker, RO, SFC 1,2,4,5,6, Brokerage, dealers, operations, online trading, Hong Kong, 

Suitable applicants may send an updated resume to:



cv AT harbridgepartners DOT com


AFTER you have sent your application to us, then we you may call one of the consultants, for further information:

Douglas, AU, Edward CHEN or Carmen LO Tel +852 2523 9955 


Additional Information

Career Level
Years of Experience
7 years
Employment Type
Full Time, Permanent

Company Overview

About Harbridge Partners Limited


HARBRIDGE PARTNERS is a boutique, executive search and human capital consultancy firm.

We are an Asia-based, premier human capital consultancy and recruitment specialist in the  Legal, Tax, Compliance, Risk, Audit, Internal Audit, Corporate Governance, Infrastructure (Middle Office), Information Security/ Technology and Sales & Marketing, fields.

Due to client requests, we launched our Private Banking / Private Wealth Management Division, servicing all levels of requirements from  Private Bankers, Wealth Planners, Tax Consultants to Portfolio Managers, Credit Specialists and support staff.

Our front-line  Sales & Marketing Practice, is now headed by an ex-investment banker.

Our Legal, GRC (Governance, Risk and Compliance) and Internal Audit Practice is managed by a multi-award winning specialist Legal and Compliance Recruitment Consultant, with over 14 years specialist experience recruiting in these araes.

The founding members have over 35 years relevant executive search and direct industry experience within our specialist industry sectors. We believe we are one of the very few- if not the first, specialist Corporate Governance and Private Banking / Wealth Management recruitment firm comprised of top ex-industry professionals or experienced recruitment specialists specifically focussed on the Asia Pacific. 

We assist our global and local clients in Asia with identifying, developing and recruiting the world’s top talent, exclusively for the fast growing markets of the Asia Pacific regions.

Most of our consultants are multi-lingual and speak fluent English as well as another Asian Language.


HARBRIDGE PARTNERS believe in developing long term relationships through open communication, trust and good, honest, ethical hard work as the foundation of our recruitment practices.

Our consultants have won industry recongnition in their specialist areas, for example such as The Asiamoney Polls.

We hope that you will find our market knowledge, professionalism and personal approach, a refreshing change. 

To better serve our clients, we have plans to launch our Singapore and Shenzehn offices soon. If you are a recruitment consultant, looking for a truely international working environment and a total commitment to Asia, please do get in touch.

HARBRIDGE PARTNERS - Delivering Unparalleled Talent

Additional Company Information

Benefits & Others
Dental insurance, Medical insurance, Performance bonus

More Jobs from this employer