Company Overview
A Japanese investment bank providing regional brokerage, M&A advisory and corporate finance for a wide range of clients including professional investors to financial institutions is currently seeking a proactive and self-motivated individual with strong communication skills to join their Client Services team. This individual will provide support in managing the client onboarding and account opening process to ensure compliance and regulatory controls are met.
Job Requirements
- Handle client onboarding and account opening matters and provide support for the KYC end-to-end process
- Ensure KYC due diligence is met upon the analysis of ownership structures
- Ensure regulatory requirements are met through client checks including World-Check, AML/ KYC, CRS, FATCA and Professional Investor rules
- Organize account and maintain client data in Static Master and other trade processing systems
- Provide support in client account maintenance requests and enquiries
- Maintenance of procedure review and updates, as well as training for junior staff
- Perform name screening for new client onboarding, event driven reviews and periodic reviews
- Ensure documentation requirements are in compliance with regulatory controls
- Perform enhanced due diligence for high-risk accounts/ PEP and escalate AML related matters to Compliance
- Liaise with Front Office, clients, and other relevant stakeholders regarding KYC/ AML requirements
- Provide assistance as Maker & Checker for assigned tasks
- Support in ad-hoc duties required by the Head of Client Services
Qualifications
- Around 7+ years of relevant CDD/ KYC and account opening experience with 2+ years of supervisory/ management experience
- Previous experience in securities or brokerage firms are highly preferred
- Well-versed in SFC, AML and KYC onboarding for institutional and corporate clients
- Proficiency in English, Cantonese and Mandarin (spoken and written)
- Skilled in Excel and PowerPoint
