Associate/AVP, KYC Specialist, Institutional Sales

The Role

Associate/AVP, Middle Office, Institutional Sales

Key Accountabilities

• Manage on-boarding of Global Market, Investment banking and asset Management clients etc. to collect Client Due Diligence Information and reviewing account opening documents;
• Perform KYC and AML check on customer account documentation to ensure full compliance with rules and regulations;
• Administer on-going KYC/CDD review maintenance of account documentation, transaction review, and other account servicing functions;
• Provide advice and guidance to front line staff regarding inquiries on KYC requirement; liaise with AML compliance where necessary;
• Conduct regular and ad-hoc compliance sanction screening of all customer accounts; identify suspicious name hit and execute appropriate actions accordingly;
• Formulate, implement and review Policy and Procedures on regulatory compliance of customer account and administration;
• Support daily Middle-Office tasks including client enquiries, payment, best execution review, IPO/Placement, corporation action advice, trading limit control and review etc.;
• Take responsibility of any ad-hoc task/project assigned by Team Head/Department Head/Head Office.

Skills & Experience

• University graduated in Finance, Business Administration or relevant disciplines with 3 years experience;
• Candidates with over 2 years of full time working experience in Hong Kong or overseas is considered as an advantage;
• Experience working in securities firm preferable;
• 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);
• Immediate availability is an advantage.

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.