ASSO/AVP, Customer Compliance Management Support, Equity Sales & Derivatives

The Role

ASSO/AVP, Customer Compliance Management Support, Equity Sales & Derivatives

Key Accountabilities

• Perform KYC and AML checks on customer account documentation to ensure compliance with regulatory requirements and internal company standards, assisting in identifying potential compliance risks.
• Administer ongoing KYC review and maintenance of account documentation, conduct transaction reviews, manage account servicing functions, and collaborate with AML and other departments to ensure compliance with CRS and FATCA regulations.
• Follow up on customer instructions, provide progress updates, and maintain close communication with customers to ensure smooth compliance processes and meet their needs.
• Contribute to customer compliance management efforts, collaborating with CO, AML, and other relevant departments to address regulatory issues impacting customer accounts, enhancing the teams overall compliance standards.
• Provide team support, contribute to the implementation and enhancement of compliance policies and processes, and carry out other ad-hoc tasks as assigned.

Skills & Experience

• Degree or diploma holder, with 3-5 years relevant experience in customer compliance management, KYC or AML being a strong advantage.
• Excellent problem-solving and decision-making skills, capable of independently handling complex compliance matters.
• Outstanding interpersonal and communication skills, with the ability to collaborate effectively with customers and internal/external teams.
• Detail-oriented with a proactive working attitude, able to maintain high-quality standards under pressure.
• Familiarity with regulatory requirements (e.g., AML, CRS, FATCA) and related experience will be an added advantage.

Other Information

Notes to applicants:

• Please apply in strict confidence with full resume, academic record, current and expected salaries.
• The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidate will be destroyed within 24 months.
• Candidates with Enhanced Competency Framework (ECF): please state on the CV.

About BOCI

As a leading investment bank in China and Hong Kong region, the investment banking arm of Bank of China, BOC International Holdings Limited (“BOCI”), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career for supporting our group.