Head of Broker Dealer

Role Overview

Produce and manage product framework for U.S. market covering primary equity offerings, secondary market funds, ETFs, and structured products. Establish full lifecycle management mechanism for U.S. products and drive cross-regional product collaboration.

• Define and structure product framework for primary equity offerings, secondary market funds, ETFs, and structured products in the U.S. market.
• Establish a full life‑cycle management mechanism for U.S. products, including product introduction, evaluation, compliance review, and launch procedures.
• Drive cross‑regional product collaboration to enable a global product pool shared across Hong Kong, Singapore, and the U.S., while supporting local adaptation and execution.
• Oversee product launches and compliance reviews under the U.S. licensing structure to ensure alignment with SEC/FINRA regulations.
• Work proactively with internal Legal, Compliance, and Operations teams to refine and improve product documentation, transaction instructions, and customer disclosures.
• Optimize system and operational workflows to ensure smooth end‑to‑end execution from product initiation to transaction settlement.
• Build and maintain relationships with major local counter parties, including U.S. brokers, fund managers, custodians, and clearing agents.
• Standardize channel onboarding criteria, contract negotiation, and signing processes to ensure process consistency and risk control.
• Develop strategic cooperation frameworks that enhance resource sharing and operational efficiency across business lines.
• Formulate the U.S. sales planning framework and performance metrics (KPIs) aligned with the firm’s global product strategy.
• Design sales cadence and client engagement plans to support relationship managers in product roadshows, solution advisory, and client follow‑ups.
• Establish a feedback and review mechanism within the U.S. region to perform quarterly retrospectives and generate product enhancement proposals.

• Director

• Full‑time

• Finance