Olive Asset Management · 1 day ago
Head of Broker Dealer（US）
California, United States
Full-time
Onsite
Director/ExecutiveOlive Asset Management is seeking a Head of Broker Dealer to lead product planning and introduction for the U.S. market. The role involves overseeing product launches and compliance, managing partnerships, and formulating sales strategies to enhance operational efficiency and align with global product strategies.
AdviceAsset ManagementFinancial ServicesManagement Consulting
Hiring Manager
Seven Bian
Responsibilities
Structure and define the product framework for the U.S. market, covering primary equity offerings, secondary market funds and ETFs, and structured products
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 full alignment with SEC/FINRA regulations
Work proactively with internal Legal, Compliance, and Operations teams to refine and improve content such as 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 counterparties, 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 (RMs) 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
Qualification
Required
Structure and define the product framework for the U.S. market, covering primary equity offerings, secondary market funds and ETFs, and structured products
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 full alignment with SEC/FINRA regulations
Work proactively with internal Legal, Compliance, and Operations teams to refine and improve content such as 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 counterparties, 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 (RMs) 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
Company
Olive Asset Management
Olive Asset Management is a forward-thinking investment firm committed to deliver customized investment solutions .
Founded in 2003
201-500 employees
Funding
Current Stage
Growth StageRecent News
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