Account Opening Specialist (PWM Department) - Securities Company

We are currently partnering with a reputable securities company in Hong Kong to recruit an Account Opening Specialist for its Private Wealth Management (PWM) Department. As a key member of the PWM team, you will be responsible for marketing lead generation, assisting high-net-worth clients (HNWs) within the company with account opening procedures, and conducting due diligence and KYC compliance work. This role offers a great opportunity to grow in the dynamic Hong Kong financial industry and work closely with a professional team dedicated to serving high-net-worth clients.

1. Undertake marketing lead generation activities to support the PWM department’s business development, focusing on guiding internal high-net-worth clients through the account opening process smoothly and efficiently.
2. Assist internal HNW clients in completing all account opening procedures, including document collection, form filling, and process follow-up, ensuring a seamless and high-quality client experience.
3. Conduct thorough client due diligence (CDD) and Know Your Client (KYC) checks in strict accordance with the company’s policies, regulatory requirements of the Securities and Futures Commission (SFC) in Hong Kong, and anti-money laundering (AML) guidelines.
4. Verify the authenticity, completeness and validity of client information and application documents, identify potential compliance risks, and promptly report any abnormalities to the superior and compliance department.
5. Maintain close communication with internal teams (including PWM relationship managers, compliance, and operations) to coordinate account opening processes, resolve client-related issues, and ensure efficient workflow.
6. Keep abreast of the latest regulatory policies and industry practices related to securities account opening, KYC, and CDD, and ensure all work complies with relevant regulations.
7. Complete other related tasks assigned by the superior, including supporting the optimization of account opening processes and compliance documentation.

1. Legal right to work in Hong Kong (valid Hong Kong ID or work visa is mandatory).
2. Native Cantonese speaker; fluent in spoken and written English and Mandarin is an advantage (facilitating communication with diverse clients and teams).
3. Bachelor’s degree or above, with preference given to majors in Finance, Economics, Business Administration or related fields.
4. 1-2 years of relevant work experience in account opening, KYC, due diligence or financial services is preferred; fresh graduates with a strong interest in PWM and compliance are also welcome.
5. Must pass HKSI LE Paper 1: Fundamentals of Securities and Futures Regulation within one month of employment . (Candidates who have already passed Paper 1 will be given priority.)
6. Familiar with Hong Kong’s securities regulatory requirements, SFC guidelines, KYC/CDD processes and AML regulations is an advantage.
7. Detail-oriented, with strong sense of responsibility and compliance awareness; able to handle complex documents and procedures accurately.
8. Excellent communication, coordination and problem-solving skills; able to build good relationships with internal clients and teams, and work efficiently in a fast-paced environment.
9. Proficient in using Microsoft Office (Word, Excel, Outlook) and other office software.