Current SFC Licensed Representative status for Type 1 (Dealing in Securities) regulated activity is required.
At least 7 years of experience in financial services or brokerage within an SFC-licensed corporation, including at least 3 years in a senior leadership role managing licensed client-facing teams.
Deep working knowledge of the SFO, SFC Code of Conduct, AML/CFT Guidelines, and related regulatory standards covering client identity, agreements, and record keeping.
Direct experience drafting, implementing, reviewing, and continuously updating compliance policies and procedures within a licensed broker or asset manager.
A proven track record of managing complex escalations, handling client complaints, resolving disputes under pressure, and driving operational KPI and client satisfaction enhancements.
Professional fluency in spoken and written Cantonese, English, and Mandarin.
Uncompromising integrity, sound judgment, meticulous attention to detail, stakeholder management capabilities, and a calm, structured approach to problem-solving.
Responsibilities
Lead a team of licensed client support professionals and own and maintain operational policies and procedures to ensure continuous SFC compliance.
Serve as the senior escalation authority for complex client matters and partner with Compliance, Product, and Technology teams to improve service standards through AI integration.
Draft, implement, and maintain the client service function's policies and procedures for client onboarding, CDD/KYC, account opening and maintenance, order and enquiry handling, record keeping, and communication archiving, ensuring they are followed in practice.
Monitor regulatory updates, operational feedback, and business changes, and review, update, and revise policies and procedures to maintain alignment with SFC expectations and internal best practices.
Ensure disputes are investigated and resolved within required timelines; perform root-cause analysis and report management information to senior management and Compliance.
Support regulatory inspections, internal and external audits, license variations, and ad-hoc SFC communications in coordination with Legal and Compliance.
Deliver ongoing regulatory and product training to licensed team members while monitoring licensing status, CPT compliance, and overall regulatory competence.
Lead, coach, and develop SFC-licensed client support professionals across all channels.
Oversee day-to-day servicing across Hong Kong trading hours, including document verification, funding and withdrawals, corporate actions, trade and settlement enquiries, and stock transfers.
Establish and monitor service KPIs and SLAs across all channels, and manage workforce planning, coverage, and quality assurance to improve operations continuously.
Act as the final escalation authority for complex, sensitive, or high-value cases, including client disputes, suspected fraud or AML alerts, and vulnerable client management under pressure.
Translate complaint and enquiry patterns into actionable product, workflow, and operational improvements.
Collaborate with Product and Engineering teams to integrate AI-driven tools, enhance self-service channels, and modernize the digital client journey while reducing contact volume.
Partner with internal stakeholders on operational resilience, business continuity planning, and incident management protocols affecting client servicing.
Desired Qualifications
A Type 4 (Advising on Securities) license is highly advantageous.
Head of Customer Services
About Us Longbridge is a new-generation, AI-driven online brokerage on a mission to make investing smarter, simpler, and more accessible for everyone. Headquartered in Singapore, we are redefining the investment journey by connecting the stages of “Discovery → Learning → Trading.”With our proprietary AI assistant, Longbridge AI, and a cloud-native infrastructure, we provide retail investors with institutional-grade insights and a seamless global trading network. At Longbridge, you won’t just be working for a brokerage; you’ll be building the future of financial infrastructure.
The Role Reporting directly to senior management, you will lead a team of licensed client support professionals, own and maintain operational policies and procedures (P&Ps) to ensure continuous SFC compliance, act as the senior escalation authority for complex client matters, and partner closely with Compliance, Product, and Technology teams to elevate service standards through AI integration.
Key Responsibilities Compliance & Regulatory Operations - Policies & Procedures (P&P) Ownership: Draft, implement, and maintain the client service function's P&Ps end-to-end — covering client onboarding, CDD/KYC, account opening/maintenance, order and enquiry handling, record keeping, and communication archiving — ensuring execution in practice, not just on paper. - Continuous Review & Optimization: Continuously monitor regulatory updates, operational feedback, and business changes; review, update, and revise existing P&Ps as seen fit to ensure ongoing alignment with SFC expectations and internal best practices. - Complaint-handling framework Ownership: Ensure disputes are investigated and resolved within required timelines. Perform root-cause analysis and report management information (MI) to senior management and Compliance. - Regulatory Inspections & Audits: Support regulatory inspections, internal/external audits, license variations, and ad-hoc SFC communications in close coordination with Legal and Compliance. - Team Competence & Training: Deliver ongoing regulatory and product training to licensed team members while monitoring licensing status, CPT compliance, and overall regulatory competence.
Team Leadership & Operations Oversight - Team Leadership: Lead, coach, and develop a team of SFC-licensed client support professionals across all channels - Operations Oversight: Oversee day-to-day servicing across Hong Kong trading hours, including document verification, funding/withdrawals, corporate actions, trade/settlement enquiries, and stock transfers. - Performance Management & KPIs: Establish and monitor service KPIs and SLAs across all channels, managing workforce planning, coverage, and quality assurance to drive continuous operational improvement. - Escalation & Dispute Resolution: Act as the final escalation authority for complex, sensitive, or high-value cases, including client disputes, suspected fraud/AML alerts, and vulnerable client management under pressure. Client Experience & Cross-Functional Innovation - Client Advocacy: Translate complaint and enquiry patterns into actionable product, workflow, and operational improvements. - Technology & AI Modernization: Collaborate with Product and Engineering teams to integrate AI-driven tools, enhance self-service channels, and modernize the digital client journey while reducing contact volume. - Operational Resilience: Partner with internal stakeholders to contribute to the firm's operational resilience, business continuity planning, and incident management protocols affecting client servicing.
What You Bring - Licensing & Regulatory Standing: Current SFC Licensed Representative for Type 1 (Dealing in Securities) regulated activity; Type 4 (Advising on Securities) license is highly advantageous. - Industry Experience: Minimum 7 years in financial services or brokerage within an SFC-licensed corporation, including at least 3 years in a senior leadership role managing licensed client-facing teams. - Compliance & Technical Expertise: Deep working knowledge of the SFO, SFC Code of Conduct, AML/CFT Guidelines, and related regulatory standards (client identity, agreements, and record keeping). Direct experience drafting, implementing, reviewing, and continuously updating compliance P&Ps within a licensed broker or asset manager. - Leadership & Dispute Resolution: Proven track record of managing complex escalations, handling client complaints, resolving disputes under pressure, and driving operational KPI and client satisfaction enhancements. - Language Proficiency: Professional fluency (spoken and written) in Cantonese, English, and Mandarin. - Personal Attributes: Uncompromising integrity, sound judgment, meticulous attention to detail, strong stakeholder management capabilities, and a calm, structured approach to problem-solving.