Your role will include:
1.Reviewing documents and coordinating with sales team to ensure client needs are met.
2.Maintaining KYC records to stay compliant with regulations.
3.Collaborating with sales and compliance teams to mitigate risks through effective policies.
4.Drafting and managing account opening documents for smooth operations.
5.Conducting regular account reviews to ensure compliance.
6.Providing backup support for daily clearing and settlement across various products like cash equity, ETFs, fixed income, and derivatives.
Qualifications and Skills:
1.Compliance knowledge: Requires a deep understanding of relevant compliance laws and regulations, including anti-money laundering (AML) requirements, as well as knowledge of customer identification and due diligence processes. Especially, familiar with the account opening processes for clients in both Hong Kong and mainland China.
2.Risk assessment: Requires the ability to assess the risk level of clients, including understanding how to identify high-risk clients, knowledge of risk factors in different industries and regions, and the ability to classify and assess risks.
3.Investigation and research skills: Requires strong investigation and research skills to gather, analyse, and evaluate the information provided by clients to determine its authenticity and accuracy.
4.Communication and teamwork: Requires good communication and teamwork skills to effectively collaborate and coordinate with internal and external stakeholders.
5.Product knowledge and on-hand experience on any financial instrument types in middle/back office is a plus.