The Role
Associate, Business Support and Client Services, Equity Sales & Derivatives
Key Accountabilities
- Manage on-boarding processes of clients to review and advise client due diligence and account opening documents;
- Perform KYC and AML checks on account documentation to ensure full compliance with internal and external rules and regulations;
- Administer on-going KYC /CCDD review maintenance of account documentation, transaction review, trigger event review and other account monitoring controls;
- Conduct daily name screening checking, ensure the quality of work is fully compliant with internal policy and procedure;
- Checking and approving all type of the 3rd party transactions and conduct regular review and report to senior management through MIS reports;
- Submit internal Suspicious Transactions Report to AML Compliance team if necessary;
- Provide advice and guidance to front line staff regarding inquiries on KYC/AML requirements;
- Formulate, implement and review policies and procedures to ensure compliance of regulatory and internal requirements;
- Provide annual AML training to all front line staff;
- Liaise with AML Compliance team where necessary and take responsibility of any ad-hoc task/project as assigned.
Skills & Experience
- University graduated in Finance, Business Administration or relevant disciplines;
- Minimum 1-2 years of relevant experience;
- Familiar with investment banking or securities business;
- Excellent analytical, problem solving and decision making skills;
- Excellent communication and interpersonal skills;
- Fluency in written and spoken English and Chinese (both Cantonese and Mandarin), experience with reports writing in simplified characters preferred;
- Strong in Microsoft excel, word and power point;
- Possess ACAMS/ICA/AAMLP related qualification preferred but not a must;
- Flexible, team player, detailed oriented.
Other Information
- 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 (“BOCIâ€), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career for supporting our group.
