Client Onboarding Analyst/Manager (KYC)

Responsibilities

• Work within the front office, compliance team and operation team, perform client on-boarding procedures, responsible for CDD, KYC, AML checks, and risk assessment for new and existing clients;
• Conduct periodic review and remediation requests from regulatory perspective;
• Maintain internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators;
• Deliver reporting and FATCA/CRS filing monitoring;
• Data input and maintenance, ensure all documents are properly filled and managed;
• Assist in system enhancement UAT, ad-hoc tasks and projects as assigned from time to time.

Requirements

• Degree in any relevant disciplines;
• 2-5 years’ experience working in a financial services or brokerage firm, strong and in-depth knowledge of client onboarding process, KYC and AML, Type 1 SFC license holder is highly preferred;
• Sell side settlement or mutual fund transfer agency experience is a plus;
• A team player with excellent attitude, willing to take on multiple functions;
• Excellent command of written and spoken English, Mandarin and Cantonese;
• Proficiency in Microsoft Word / Excel / PowerPoint;
• Independent, self-motivated and good interpersonal skills;
• Immediately available is highly preferred.