Client Onboarding, Brokerage & Global Markets

This role sits at the heart of the Global Markets business and demands strong operational discipline, a firm grasp of KYC/CDD documentation, and the ability to bridge front-office, compliance, and back-office functions seamlessly.

Key Responsibilities

• Own the full lifecycle of Financial Institution (FI) onboarding, from initial data gathering and system input through to document chasing, sanctions screening, and closure of CDD deferrals – ensuring all cases are completed within tight SLAs.
• Drive the account-opening process for institutional clients: collect, verify, and accurately input KYC/CDD data; validate and archive all documentation before account activation.
• Proactively track outstanding CDD items, chase missing documents directly with Front Office and clients, and clear deferrals without repeated escalations.
• Perform daily operational checks including World-Check, sanctions screening, CRS, and FATCA classifications, and update client records in the CRM system with zero tolerance for data errors.
• Strictly adhere to internal AML policies and regulatory requirements; identify documentation discrepancies and escalate any red flags or risk concerns to the supervisor immediately.
• Act as the operational link between Front Office, Legal & Compliance, and Back Office teams to ensure smooth handoffs, prevent bottlenecks, and maintain a controlled onboarding environment.
• Support system UAT, data clean-up exercises, and process improvement initiatives; contribute to building a more scalable, tech-enabled onboarding framework.

Requirements

• Educational & Technical Preference: Bachelor’s degree or above. A strong IT-background is highly preferred, reflecting the team’s focus on automation and system-driven onboarding.
• Experience: Minimum 5 years of Operations experience within financial institutions, with a mandatory focus on institutional client onboarding gained in Brokerage, Global Markets, or Investment Banking.
• Domain Knowledge: Strong operational knowledge of FI documentation, including corporate structures, fund structures, and regulatory classifications.
• Process & Accuracy: Demonstrated ability to manage high-volume queues with zero errors, proactively follow up on pending items, and handle multiple concurrent cases under pressure.
• Automation Mindset: Experience with AI or automation tools to streamline operational processes is a distinct advantage.
• Language Skills: Excellent command of written and spoken English, Cantonese, and Putonghua – comfortable communicating with both local and international stakeholders.
• Career Stability: A stable employment history is essential. Evidence of long-tenured roles and a clear, non-job-hopping career progression will be viewed very favorably.