KYC / onboarding lead

Responsibilities:

• Oversee and conduct thorough KYC and CDD processes for a diverse clientele, including

institutional clients, wealth management clients, and retail accounts. Perform EDD for high-risk

and complex profiles.

• Conduct robust AML/CFT checks in accordance with SFC and global guidelines. Knowledge of

crypto-specific requirements (e.g., Travel Rule, KYT/KYA, VASP licensing, and virtual asset

AML/CFT frameworks) is highly advantageous.

• Maintain up-to-dated client records. Conduct ongoing and trigger-based periodic reviews to

ensure the continued accuracy of client information and adherence to internal policies.

• Manage the FATCA and CRS classification and reporting processes. Ensure accurate tax form

collection (eg. W-8/W-9) and timely reporting to the Tax Authorities.

• Participate in routine name screening review, establish methodologies to eliminate false

positives and escalate genuine hits. Manage the disposition of PEP and sanction-related alerts.

• Collaborate closely with Front Office, Compliance, Legal, and Operations teams to balance

commercial interests with regulatory rigor. Provide clear guidance on onboarding requirements

and risk mitigation strategies.

• Act as a key business stakeholder in CRM/KYC system enhancements and digital onboarding

projects. Drive initiatives to automate manual processes, integrate new compliance modules,

and improve the overall efficiency of client data management and workflow routing.

• Review and refine onboarding policies, procedures, and operating manuals to reflect changing

regulatory landscapes, market conditions, and business strategies.

Requirements:

• Bachelor’s degree or above in Finance, Law, Business Administration. Professional qualifications

(e.g., CAMS, ICA) are a plus.

• Minimum of 8 years of relevant experience in client onboarding, KYC, or compliance

functions within a sizable financial institution (brokerage, investment bank, or private bank).

• Strong familiarity with SFC codes, the HKMA regulatory framework, FATF recommendations, and

hands-on experience with CRS/FATCA reporting obligations.

• Proven experience in system project involvement (e.g., implementing new KYC/CRM platforms,

workflow automation, or data migration).

• High adaptability to fast-changing business requirements, strong ethical judgment, and the

ability to handle confidential information with absolute discretion.

• Understanding of trade life cycle workflows for different product class (eg. cash equities, fixed

income, structured products) is a plus.

1. This role has to be hands on the day-to-day tasks
2. Certain people management experience, leading or deep involvement in Customer Relationship Management (CRM) project (good to have)

• Fluency in Mandarin is a MUST