Associate/AVP, KYC Specialist, Institutional Sales

BOCI; Hong Kong; On-site; HKD 420,000 - 650,000; Full time

Job summary

BOCI is seeking a diligent KYC/AML professional to manage client onboarding across Global Markets, Investment Banking and Asset Management. You will perform due diligence, review documents, and ensure regulatory compliance while guiding front-line staff on KYC requirements.

The role includes ongoing KYC/CDD maintenance, sanctions screening, and supporting middle-office tasks such as payments and trading limit reviews. Immediate availability is a plus.

Qualifications

• Bachelor's degree in Finance or Business Administration with 3 years experience.
• Experience in HK or overseas is an advantage.
• Experience in a securities firm preferable.
• Excellent analytical, problem solving and decision making skills.
• Excellent communication and interpersonal skills.
• Fluency in written and spoken English and Chinese (Cantonese and Mandarin).
• Immediate availability is an advantage.

Responsibilities

• Manage on-boarding of Global Market, Investment banking and asset management clients, collecting CDD information and reviewing documents.
• Perform KYC and AML checks to ensure compliance with rules and regulations.
• Administer ongoing KYC/CDD review maintenance of accounts and transactions.
• Provide guidance to front line staff on KYC requirements and liaise with AML compliance.
• Conduct sanctions screening of accounts and take action on hits.
• Formulate and review policy and procedures on regulatory compliance.
• Support middle-office tasks including client inquiries, payments, IPO/Placement reviews, and trading limit checks.
• Handle ad-hoc tasks/projects as assigned by Team/Department Head.

Skills

Analytical skills

Problem solving

Decision making

Communication skills

Interpersonal skills

English & Chinese fluency

Immediate availability

Securities industry experience

Education

Finance or Business Administration degree

Job description

• Manage on-boarding of Global Market, Investment banking and asset Management clients etc. to collect Client Due Diligence Information and reviewing account opening documents;
• Perform KYC and AML check on customer account documentation to ensure full compliance with rules and regulations;
• Administer on-going KYC/CDD review maintenance of account documentation, transaction review, and other account servicing functions;
• Provide advice and guidance to front line staff regarding inquiries on KYC requirement; liaise with AML compliance where necessary;
• Conduct regular and ad-hoc compliance sanction screening of all customer accounts; identify suspicious name hit and execute appropriate actions accordingly;
• Formulate, implement and review Policy and Procedures on regulatory compliance of customer account and administration;
• Support daily Middle-Office tasks including client enquiries, payment, best execution review, IPO/Placement, corporation action advice, trading limit control and review etc.;
• Take responsibility of any ad-hoc task/project assigned by Team Head/Department Head/Head Office.

Skills & Experience

• University graduated in Finance, Business Administration or relevant disciplines with 3 years experience;
• Candidates with over 2 years of full time working experience in Hong Kong or overseas is considered as an advantage;
• Experience working in securities firm preferable;
• Excellent analytical, problem solving and decision making skills;
• Excellent communication and interpersonal skills;
• Fluency in written and spoken English and Chinese (both Cantonese and Mandarin);
• Immediate availability is an advantage.

Other Information

• The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidate will be destroyed within 24 months;
• Candidates with Enhanced Competency Framework (ECF): please state on the CV.

About BOCI

As a leading investment bank in China and Hong Kong region, the investment banking arm of Bank of China, BOC International Holdings Limited (“BOCI”), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career for supporting our group.