Client Onboarding Specialist (Mandarin speaker - MUST)

  • Attractive Package + Bonus
  • Hong Kong
  • Permanent, Full time
  • Pacific Focus
  • 14 Oct 18

A leading Chinese securities firm is looking for an experienced KYC/COB candidate to join the team in Hong Kong.

Responsibilities

  • Standby support for Relationship Managers / Relationship Manager Assistants (RM/RMA) for PWM account documentation queries, covering individual, company and institutional clients;
  • Ensure Relationship Managers’ / Relationship Manager Assistants’ understanding of the PWM application documentation, and other regulatory requirements during client onboarding and client data maintenance;
  • Ensure the accuracy and completeness of account documentation in accordance with the compliance policy and regulatory requirements;
  • Conduct database and internet search to ensure RM/RMA has diligently performed the KYC and client due diligence; and, ensure the ongoing screening alert from the database is properly monitored & resolved.
  • Review the data input and documents uploaded into the client onboarding system and their subsequent flow through to the front office and other downstream systems.
  • Trigger RM/RMA periodic Client Review and review on its competence.
  • Regular follow up on outstanding documents / issues / remediation and prepare quality management report.
  • Engage in ad hoc projects including systems testing (UAT), process improvement, and regulatory change initiatives, effectively implement new initiatives in terms of system, process, risk and control.

 

Requirements

  • A university degree with 6 to 15 years’ experience relevant to client onboarding / KYC / client due diligence / client review / risk & control / internal audit / AML compliance
  • Proficiency in both English & Chinese.
  • Putonghua language skills (Business level) a must
  • Highly motivated and results orientated
  • Strong problem solving skills.
  • Responsive to change & challenge
  • Understand business process, risk & control framework and attention to detail