Job description
Our client, a fast growing international securities firm, is seeking a Middle Office expert to support the establishment and ongoing operation of its growing retail and private business in Hong Kong. This is an excellent opportunity for a seasoned KYC and Client Onboarding professional to play a key role in strengthening regulatory controls, enhancing operational processes, and driving digital transformation initiatives across the client lifecycle.
Key Responsibilities
- Perform client onboarding and account opening activities for retail, wealth management, and institutional clients.
- Conduct KYC, Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD) reviews in accordance with internal policies and regulatory requirements.
- Review client documentation to ensure completeness, accuracy, and compliance with applicable regulations.
- Support periodic reviews and trigger event reviews to maintain up-to-date client information and records.
- Assist with AML/CFT risk assessments and client risk classification processes.
- Conduct sanctions, adverse media, and politically exposed person (PEP) screening reviews and escalate potential concerns where appropriate.
- Support FATCA and CRS onboarding requirements, including the collection and validation of relevant tax documentation.
- Liaise with Front Office, Compliance, Operations, and other stakeholders to facilitate efficient client onboarding and issue resolution.
- Participate in ongoing process improvement and digital transformation initiatives, including workflow enhancement and onboarding automation projects.
- Maintain accurate client records and contribute to regulatory and internal audit requests as required.
Requirements
- Bachelor's degree in Finance, Business Administration, Law, or a related discipline.
- Minimum 4 years of relevant experience in Client Onboarding, KYC, AML, Operations, or Middle Office functions within a securities firm, bank, wealth management firm, or other financial institution.
- Familiarity with Hong Kong regulatory requirements, including SFC and AML-related guidelines.
- Working knowledge of KYC, CDD, EDD, sanctions screening, and client risk assessment processes.
- Experience reviewing individual or retail account opening documentation is a MUST.
- Exposure to FATCA and CRS requirements is preferred.
- Knowledge of onboarding platforms, CRM systems, or workflow tools is beneficial.
- Ability to manage multiple priorities in a fast-paced environment.
- Fluency in English and Chinese (Cantonese and/or Mandarin) is required.