Our client is a well-established Hong Kong-based regulated securities brokerage firm with core expertise in Hong Kong & US equities trading, serving institutional investors, family offices and high-net-worth individuals across Asia. With a fully SFC-licensed Hong Kong headquarters, they are accelerating global expansion and prioritizing the Middle East as their key strategic growth market. To lead our ground-up market entry, they are hiring a seasoned executive to serve as our Chief Operating Officer for the Middle East region, reporting directly to the Group CEO in Hong Kong.
Location: Long-term base in UAE, regular Hong Kong HQ alignment.
Role Summary
As the regional COO for Middle East, you will act as the core executive driving our full market launch across DIFC / ADGM. Your #1 critical mandate is end-to-end ownership of securing a securities brokerage license from DFSA or FSRA, enabling our regulated offering of HK & US stock brokerage services in the UAE. You will oversee full greenfield setup of the Middle East office, build and lead the local cross-functional team, own all regional daily operations, and maintain seamless cross-regional alignment with our Hong Kong headquarters.
Key Responsibilities
1. Regulatory Licensing & Compliance
- Own full lifecycle of securities license application for DIFC (DFSA Category 3A Broker) or ADGM (FSRA Securities Broker); formulate and execute the licensing roadmap and strategy
- Serve as the primary official liaison with DFSA, FSRA, SCA and all UAE financial regulators for all inquiries, document submissions, hearings and ongoing supervisory communications
- Lead drafting and compilation of complete licensing submission materials: business plan, compliance manuals, risk management frameworks, financial forecasts, governance structures and policy documents
- Establish robust regional compliance frameworks aligned with UAE regulatory standards, covering AML, CTF, KYC, client asset protection and market conduct rules
- Sustain continuous post-licensing compliance: deliver periodic regulatory filings, coordinate regulatory inspections, and update internal policies to match evolving supervisory requirements
2. End-to-End Middle East Regional Operations Management
- Lead full greenfield office establishment in DIFC or ADGM: entity incorporation, office tenancy, corporate bank account opening, local vendor onboarding and admin infrastructure setup
- Recruit, train, mentor and manage the full local team (trading, compliance, operations, sales & client servicing); build a localized, self-sufficient regional operating team
- Take full P&L and operational accountability for all regional workflows: trade execution, settlement & clearing, client onboarding, risk monitoring, HR, legal and daily admin
- Design, standardize and optimize end-to-end client lifecycle workflows from account opening through trading and post-trade settlement to boost operational efficiency and risk mitigation
- Lead selection, deployment and ongoing oversight of regional trading, risk control and back-office technology systems, collaborating with Hong Kong tech teams on integration
3. HK & US Equities Business Development in Middle East
- Develop and execute go-to-market strategy for HK & US brokerage services, including client segmentation, product localization, pricing framework and growth KPIs
- Lead institutional client acquisition and relationship management across the Middle East: sovereign wealth funds, pension funds, family offices, hedge funds and ultra-high-net-worth individuals
- Drive product localization adjustments to match regional investor preferences, enhance client service experience and expand market penetration
Mandatory Qualifications & Requirements
- Language : Chinese is mandatory (core requirement), with cross-border financial business cognition and ability to efficiently connect Hong Kong headquarters and Middle East local business.
- Minimum 10 years of progressive experience within securities brokerage, investment banking or global financial services; minimum 5 years in senior leadership roles at VP level or above.
- Hands-on, proven track record leading Middle East financial license applications (DFSA / DIFC or FSRA / ADGM preferred), with deep knowledge of submission workflows, regulator expectations and negotiation practices.
- Comprehensive expertise in HK & US equity brokerage value chains (trade execution, clearing, settlement, client regulation) with solid understanding of Hong Kong SFC regulatory regime.
- Bachelor's degree or above in Finance, Economics, Law, Accounting or other relevant financial disciplines.
- Fluent written and spoken English & Mandarin; both languages to be used as primary working languages.
- Geographic flexibility: based long-term in the Middle East, accept frequent regional travel, and conduct regular monthly/quarterly reporting visits to Hong Kong HQ.
