Associate, Operations (KYC Onboarding)

Responsibilities:

• Perform and supervise daily client onboarding and CDD review include but not limited to approval of new customer, regular review, trigger event, name screening and the approval and update of client data, etc.;
• Act as the first escalation point of contact for KYC review and its operational related issues;
• Assist front office on regular review on related operation procedures and enhance the operational efficiency and operational risk control to fulfill all compliance responsibilities;
• Review appropriate controls are in place and comply with regulations and company internal policy, escalate when appropriate;
• Participate in UAT for system enhancement;
• Provide feedback and direction to the team, coaching junior members to achieve their best capability;
• Other tasks as and when assigned by supervisor and/or Department Head.

Requirements:

• Bachelor’s degree or above;
• Minimum 3 years of relevant experience in handling KYC/CDD process with  knowledge in client onboarding/client data management;
• Hands-on experience in conducting KYC review for institutional and retail clients in investment banks, securities firms or private banks is preferred;
• Independent, flexible, analytical, with strong problem-solving skills;
• Excellent communication skills and strong risk awareness;
• Proficiency in written and spoken Mandarin, English and Cantonese.

Data collected would be used for recruitment purposes only.