Key Responsibilities

• Work with Sales closely for client onboarding, e.g. explain the documentation requirements to clients, ensure the collection of client’s documentations are complete and accurate.
• Ensure timely, accurate CDD reviews and risk assessment of new accounts, existing accounts, screening of counterparties, tracking, escalation and resolution of CDD deferrals, account slated for exit.
• Deliver on the internal customer experience while maintaining the highest standards of CDD/KYC.
• Assist in conducting AML/CFT risk assessment reviews and communicating results to both internal and external stakeholders where applicable.
• Handle various client checks and reporting including KYC, AML, World Check, CRS and FATCA Check.
• Ensure full compliance of all applicable regulations, AML policies and procedures.
• Manage audit/regulatory inspections and ensure timely closure of audit issues and regulatory findings.
• Timely escalation of issues (relating to on-boarding) to Head of Operation.
• Facilitate the development of company-wide culture of Compliance – promote ownership of front office as the first line of defense through training and proactive engagement.
• Attend KYC/AML related seminar / training and provide training to the team and other relevant parties if necessary.
• Perform ad-hoc project work as identified

Requirements

• Degree holder (or above) Holder of SFC RA1 and RA2 licenses representative
• Strong and in-depth knowledge of client onboarding process, KYC, AML, documentation, regulations and market standards, having knowledge and experience on serving
• Brokerage and Investment banking clients will be an advantage.
• Minimum of 8 years of experience in corporate / investment banking client with at least 2 years in a supervisory role.
• Familiar with SFC regulation on KYC and AML requirements
• Strong interpersonal skills, handling client’s enquiries tactfully and skillfully.
• Team-oriented, detail-minded, hardworking, independent, responsible and self-motivated.
• Fluency in English and Chinese (Mandarin and Cantonese) both verbal and written
• Good knowledge of MS office package (Word, Excel, Powerpoint)

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