Associate, AML/KYC Onboarding Officer, Equity Sales & Derivatives

The Role

Associate, AML/KYC Onboarding Officer, Equity Sales & Derivatives

Key Accountabilities

• Manage on-boarding processes of clients to review and advise client due diligence and account opening documents;
• Perform KYC and AML checks on account documentation to ensure full compliance with internal and external rules and regulations;
• Administer on-going KYC /CCDD review maintenance of account documentation, transaction review, trigger event review and other account monitoring controls;
• Conduct daily name screening checking, ensure the quality of work is fully compliant with internal policy and procedure;
• Checking and approving all type of the 3rd party transactions and conduct regular review and report to senior management through MIS reports;
• Submit internal Suspicious Transactions Report to AML Compliance team if necessary;
• Provide advice and guidance to front line staff regarding inquiries on KYC/AML requirements;
• Formulate, implement and review policies and procedures to ensure compliance of regulatory and internal requirements;
• Provide annual AML training to all front line staff;
• Liaise with AML Compliance team where necessary and take responsibility of any ad-hoc task/project as assigned.

Skills & Experience

• University graduated in Finance, Business Administration or relevant disciplines;
• Minimum 1-2 years of full time relevant working experience in Hong Kong or overseas is considered as an advantage;
• Familiar with investment banking or securities business;
• Excellent analytical, problem solving and decision making skills;
• Excellent communication and interpersonal skills;
• Fluency in written and spoken English and Chinese (both Cantonese and Mandarin), experience with reports writing in simplified characters preferred;
• Strong in Microsoft excel, word and power point;
• Possess ACAMS/ICA/AAMLP related qualification preferred but not a must;
• Flexible, team player, detailed oriented.

Other Information

• Please apply in strict confidence with full resume, academic record, current and expected salaries;
• The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidate will be destroyed within 24 months;
• Candidates with Enhanced Competency Framework (ECF): please state on the CV.

About BOCI

As a leading investment bank in China and Hong Kong region, the investment banking arm of Bank of China, BOC International Holdings Limited (“BOCI”), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career for supporting our group.