Director, Brokerage Business, Wealth Management
CLSA · Hong Kong
Position Description
To lead the Retail & Corporate High Net Worth (HNW) Brokerage team in our Wealth Management (WM) Business in Hong Kong, execute the overall sales strategy, ensure regulatory compliance and robust internal controls, drive revenue growth, develop products and channels, and build a high-performance team. This role partners with compliance, risk, operations, and group entities to maintain service quality, manage risk, and optimize cross-sell opportunities.
Key Areas of Responsibilities
- Direct and lead the brokerage team to meet annual revenue targets; set and track KPIs for Account Executives (AEs); drive a high-performance culture and strategic initiatives (e.g., new products and channels).
- Oversee branches’ activities and transactions; support portfolios and margin financing; ensure timely inquiries, onboarding, and compliant trade execution; maintain service standards.
- Attract and retention of AEs; conduct regular appraisals; build talent pipeline and succession planning.
- Identify new products/services and distribution channels; build partnerships; maximize any selling opportunities.
- Uphold conduct standards for RHNW team; promote a strong compliance culture; oversee internal controls and training, risk management, incident handling, and complaint resolution.
- Maintain and update policies and controls; optimize organizational structure and resourcing; act as gatekeeper for due diligence and risk assessments.
- Maintain relationships with management team, regulators and group entities; ensure licensing compliance; coordinate with Compliance, Risk, and Internal Audit; align cross-border standards.
- Deliver timely management reporting; leverage analytics for decision-making; accountable for revenue achievement, compliance, risk management, service quality, and talent development.
Requirements
- Degree holder in related discipline with minimum 12-15 years’ relevant experience in financial institutions with proven leadership in brokerage or related financial services.
- Track record as responsible officer (RO) and managing brokerage activities under SFC/HK regulatory regimes; holds SFC Type 1, 2 & 3 licenses; Insurance licenses.
- Experience in Account Executives (AEs) business model; cross-border/multi-market brokerage operations; branding, product promotion, and distribution channels (including digital platforms).
- Strong governance, integrity, and ability to foster a compliant culture; proven success in building and leading high-performing teams.
- Strategic thinking, stakeholder management, negotiation, risk management, financial acumen, plus people development and coaching.
- Excellent interpersonal and tri-lingual communication skills is a must
- Self-motivated and able to manage multiple priorities; comfortable participating in leadership team meeting and delivering results in a fast-paced environment.
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