Responsibilities:
• Oversee and conduct thorough KYC and CDD processes for a diverse clientele, including
institutional clients, wealth management clients, and retail accounts. Perform EDD for high-risk
and complex profiles.
• Conduct robust AML/CFT checks in accordance with SFC and global guidelines. Knowledge of
crypto-specific requirements (e.g., Travel Rule, KYT/KYA, VASP licensing, and virtual asset
AML/CFT frameworks) is highly advantageous.
• Maintain up-to-dated client records. Conduct ongoing and trigger-based periodic reviews to
ensure the continued accuracy of client information and adherence to internal policies.
• Manage the FATCA and CRS classification and reporting processes. Ensure accurate tax form
collection (eg. W-8/W-9) and timely reporting to the Tax Authorities.
• Participate in routine name screening review, establish methodologies to eliminate false
positives and escalate genuine hits. Manage the disposition of PEP and sanction-related alerts.
• Collaborate closely with Front Office, Compliance, Legal, and Operations teams to balance
commercial interests with regulatory rigor. Provide clear guidance on onboarding requirements
and risk mitigation strategies.
• Act as a key business stakeholder in CRM/KYC system enhancements and digital onboarding
projects. Drive initiatives to automate manual processes, integrate new compliance modules,
and improve the overall efficiency of client data management and workflow routing.
• Review and refine onboarding policies, procedures, and operating manuals to reflect changing
regulatory landscapes, market conditions, and business strategies.
Requirements:
• Bachelor’s degree or above in Finance, Law, Business Administration. Professional qualifications
(e.g., CAMS, ICA) are a plus.
• Minimum of 8 years of relevant experience in client onboarding, KYC, or compliance
functions within a sizable financial institution (brokerage, investment bank, or private bank).
• Strong familiarity with SFC codes, the HKMA regulatory framework, FATF recommendations, and
hands-on experience with CRS/FATCA reporting obligations.
• Proven experience in system project involvement (e.g., implementing new KYC/CRM platforms,
workflow automation, or data migration).
• High adaptability to fast-changing business requirements, strong ethical judgment, and the
ability to handle confidential information with absolute discretion.
• Understanding of trade life cycle workflows for different product class (eg. cash equities, fixed
income, structured products) is a plus.
- This role has to be hands on the day-to-day tasks
- Certain people management experience, leading or deep involvement in Customer Relationship Management (CRM) project (good to have)
• Fluency in Mandarin is a MUST
