KYC & Client Onboarding- Associate

Our client- a Leading Chinese Securities Firm is seeking a detail-oriented professional to join their client onboarding team in HK. The ideal candidate will have a solid background in compliance and due diligence within the banking or financial services sector.

Key Requirements:

• Minimum 3 years of experience in financial institutions.
• Strong understanding of KYC, AML, CRS, FATCA, and onboarding documentation standards.
• Preferably holds an SFC Type 1 license.
• Excellent verbal and written communication skills in Mandarin and English; Cantonese is an advantage.
• High attention to detail, self-motivated, with strong multitasking and time management abilities.
• Capable of working independently while escalating issues to management in a timely manner.
• Proficient in Microsoft Office (Excel, Word, PowerPoint).

Role Responsibilities:

• Perform client due diligence from an AML perspective, assessing risks related to source of wealth, name screening, country risk, etc.
• Review client information and documentation for completeness, accuracy, and regulatory compliance.
• Engage with clients during onboarding to collect required KYC documents and conduct public information searches.
• Validate client tax residency under CRS and FATCA regulations through reasonableness testing.
• Collaborate closely with the AML team to ensure adherence to internal procedures and regulatory guidelines.
• Deliver KYC and AML training to frontline sales staff.
• Undertake additional duties as assigned.