Director/SVP, Middle Office (Client On-boarding & KYC Control)

JOB TITLE: Director / SVP, Client Onboarding & KYC Control

A premier Investment Banking institution, is seeking a senior leader to take ownership of their Client Onboarding and KYC/CDD function. This is a critical first-line-of-defense role, requiring a strategic operator who can balance aggressive business growth with uncompromising regulatory integrity. The successful candidate will not only oversee the end-to-end lifecycle for a complex, multi-segment client base (Retail, Wealth, and Institutional) but will also act as a key architect in evolving the firm's digital onboarding infrastructure.

KEY RESPONSIBILITIES

• Strategic Oversight & Control: Assume full ownership of the KYC/CDD framework, ensuring rigorous adherence to SFC, HKMA, and global AML/CFT standards. Direct the execution of Enhanced Due Diligence (EDD) for high-risk and complex profiles, setting the standard for risk mitigation across the organization.
• End-to-End Lifecycle Management: Oversee the holistic client journey from initial account opening (Retail/Corporate) through to ongoing periodic reviews. Ensure seamless integration between documentation verification, system setup, and regulatory reporting, acting as the ultimate gatekeeper for the firm's client base.
• Regulatory & Tax Governance: Steer the firm's FATCA and CRS classification and reporting strategy. Validate complex tax form collections (W-8/W-9) and ensure flawless annual reviews, acting as the primary point of escalation for cross-border tax compliance issues.
• Cross-Functional Stakeholder Leadership: Partner with Front Office, Compliance, Legal, and Operations executives to harmonize commercial objectives with regulatory rigor. Provide authoritative guidance on onboarding roadblocks, policy interpretations, and emerging regulatory risks.
• Digital Transformation & CRM Strategy: Act as a senior business stakeholder in the design and rollout of CRM/KYC system enhancements. Champion initiatives aimed at automating manual workflows, integrating next-generation compliance modules, and driving data-driven efficiencies in client lifecycle management.
• Policy & Procedure Architecture: Lead the review, refinement, and drafting of operating manuals and governance policies. Proactively adapt frameworks to reflect evolving regulatory landscapes, market conditions, and shifting business strategies.
• Team Leadership & Development: Directly manage, mentor, and develop a team of Middle Office professionals. Foster a high-performance culture focused on accuracy, operational excellence, and professional growth.

REQUIREMENTS

• Experience: Minimum of 8 years of relevant experience in Client Onboarding, KYC, CDD, or Compliance within a sizable financial institution (Investment Bank, Private Bank, or Brokerage).
• Core Expertise: Deep, hands-on experience with Retail Client Account Opening and a comprehensive understanding of Corporate/Institutional onboarding structures.
• Regulatory Acumen: Expert-level knowledge of SFC codes, HKMA regulatory frameworks, FATF recommendations, and demonstrable experience managing CRS/FATCA reporting obligations.
• Leadership: Proven track record of people management (minimum 5+ years), with demonstrable experience in coaching, performance management, and talent development.
• Project Management: Significant experience acting as a key business stakeholder in system implementation projects (e.g., KYC/CRM platform migration, workflow automation, or data remediation).
• CRM Systems: Strong preference for candidates with deep involvement or direct leadership in Customer Relationship Management (CRM) system enhancement projects.
• Product Knowledge: Understanding of trade life cycle workflows across various asset classes (Cash Equities, Fixed Income, Structured Products) is highly advantageous.
• Communication: Exceptional interpersonal and presentation skills, capable of articulating complex regulatory requirements clearly to senior business heads and frontline staff.
• Language: Fluency in English and Cantonese/Mandarin is mandatory to effectively liaise with regional teams and local regulatory bodies.
• Education: Bachelor's degree (or higher) in Finance, Law, or Business Administration. Professional certifications such as CAMS, ICA, or AAMLP are highly desirable.