Associate, Compliance (Client Onboarding)

Main Responsibilities:

• Assist front office and back office departments to handle account opening related matters from compliance perspective (including FATCA, CRS, professional investor account opening requirements, HKIDR, etc.)
• Deliver exceptional responses to front office and back office inquiries relates to account opening, maintaining compliance with rigorous AML/KYC and regulatory expectations
• Provide assistance to front office and back office departments to improve and optimize the account opening and due diligence processes for different types of client accounts, including individual accounts, corporate accounts, trust accounts, institutional accounts, etc.
• Handle due diligence requirements raised by counterparties
• Work closely with the Fintech team to improve and optimize existing account management (including account opening, due diligence, etc.) automation related projects

Job Requirements:

• University degree
• At least 5 years or above relevant experience in SFC licensed corporation e.g. securities company is an advantage
• Familiar with the HKSFC regulations and industry practices
• Familiar with the account opening requirements for various types of clients, including individuals, companies, trusts, institutions, etc.
• Have in-depth knowledge of account opening for various types of corporate structures, possess in-depth learning and research capabilities, and be able to understand and grasp the compliance requirements under the complex structure of corporate clients
• Strong interpersonal and communication skills, self-motivated, responsible and fast paced work under pressure and meet tight deadlines
• Excellent problem solving ability and project management skill
• Must be able to read and written Chinese and speak Mandarin