A Hong Kong based asset management and financial firm is growing their US presence in San Francisco.  This new division is a start-up company that focuses on the online brokerage and clearing business. The parent company is a HK-based quantitative trading asset management company, with an office in Beijing and over 60 employees.


  • Help set up the clearing firm: register with regulators and SROs, recruit required team members, and direct the business on a daily basis.
  • The COO reports to the CEO and serves as an integral member of the senior management team. As the COO, the candidate provides the leadership, management, and vision necessary to ensure the company has the proper operational controls, administrative and reporting procedures, and people system in place to effectively grow the organization and to ensure financial strength and operating efficiency.
  • Oversee short-term and long-term planning and budget development to support strategic business goals. Identify long term development strategy of the firm. · Support personnel’s actions by ensuring all HR and related functions are properly performed. Requirements:
  • Bachelor’s degree from an accredited university or college.
  • Minimum of 5+ years of experience in a US based Clearing firm/Clearing Division, familiar with the operation of a clearing firm, the business functions, relevant compliance/laws, and regulatory policies. Strong knowledge of clearing and settlement procedures. Up to date knowledge of current financial products. Maintains a good relationship with commercial banks.
  • Series 7 and 24 license are required. Series 99 license is preferred
  • Speaking and reading Chinese is preferred.

Benefit options:

  • Paid Vacation · Paid Sick Time · Medical & Dental · 401k with Employer Match · Etc

Please email Jack Kelly at Jack@ComplianceSearch.com

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