Responsibilities:

l   Assist business units to onboard institutional and corporate clients

l   Responsible for verification on the Customer Due Diligence (CDD), Know Your Client (KYC), Name Screening, Risk Level Assessment of new and existing clients

l   Ensure timely, complete and accurate documentation review for all client account opening records (including both individuals and corporates)

l   Conduct periodic review on the existing client information

l   Clients¡¯ static data input and data maintenance

l   Work closely with Compliance, Business and related departments regarding all clients¡¯ data issue

l   Participate in various projects such as data system upgrade, FATCA, CRS, AML name screening and other upcoming regulatory projects as required

l   Assist to formulate the daily client onboarding workflow and streamline the departmental procedures manual

Requirements:

l   Degree holder in Business, Finance or other related disciplines

l   3 - 5 year of relevant experience in Client Onboarding and CDD / KYC / AML in investment and securities business, candidate with less experience will be considered as assistant

l   Sound knowledge of local and regional rules and regulations for financial institution

l   Detail-minded and be able to cope with data work

l   Proficient in MS Office applications (e.g. Word, Excel, PowerPoint) and Chinese word processing

l   Good command of written and spoken English and Chinese, fluency in Putonghua

l   Independent, self-initiative and good interpersonal skills

l   SFC License holder of Type 1 and 2 is a bonus