LH Securities Head of Operations
Job Responsibilities
• Oversee securities operations functions including client account opening, trade settlement, and securities registration processes in compliance with applicable regulatory requirements.
• Manage day-to-day operational activities for brokerage and margin trading businesses, ensuring accuracy, efficiency, and proper control of all transactions.
• Establish and enhance operational workflows and procedures in line with updated regulatory practices, while providing recommendations to improve operational efficiency and strengthen internal controls.
• Work closely with Front Office and Compliance teams to ensure that all operational activities are conducted in accordance with regulatory requirements and aligned with the company’s business objectives.
• Collaborate with the internal IT department on system testing, implementation, and other related activities, including coordination with external service providers or vendors.
• Monitor updates and developments in regulations and requirements from relevant authorities, including the Stock Exchange of Thailand (SET), the Securities and Exchange Commission (SEC), Thailand Clearing House (TCH), the Bank of Thailand, AMLO, and other related regulators, to ensure that existing processes and systems remain fully compliant.
• Perform other special assignments as delegated by management.
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