Our client- a Leading Chinese Securities Firm is seeking a detail-oriented professional to join their client onboarding team in HK. The ideal candidate will have a solid background in compliance and due diligence within the banking or financial services sector.
Key Requirements:
- Minimum 3 years of experience in financial institutions.
- Strong understanding of KYC, AML, CRS, FATCA, and onboarding documentation standards.
- Preferably holds an SFC Type 1 license.
- Excellent verbal and written communication skills in Mandarin and English; Cantonese is an advantage.
- High attention to detail, self-motivated, with strong multitasking and time management abilities.
- Capable of working independently while escalating issues to management in a timely manner.
- Proficient in Microsoft Office (Excel, Word, PowerPoint).
Role Responsibilities:
- Perform client due diligence from an AML perspective, assessing risks related to source of wealth, name screening, country risk, etc.
- Review client information and documentation for completeness, accuracy, and regulatory compliance.
- Engage with clients during onboarding to collect required KYC documents and conduct public information searches.
- Validate client tax residency under CRS and FATCA regulations through reasonableness testing.
- Collaborate closely with the AML team to ensure adherence to internal procedures and regulatory guidelines.
- Deliver KYC and AML training to frontline sales staff.
- Undertake additional duties as assigned.