Associate - Vice President, Client Services, Clearing and Operations Department

China Securities (International) Finance Holding Company Limited; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

China Securities (International) Finance Holding Company Limited is seeking an Associate - Vice President, Client Services in the Clearing and Operations Department to ensure efficient, compliant onboarding and top-quality output for our businesses.

Key duties include coordinating with Sales on client onboarding, executing CDD/KYC and AML reviews, handling regulatory checks (World Check, CRS, FATCA), supporting audit closures, and promoting a culture of compliance across the front office.

Qualifications

• Degree holder (or above) with relevant banking compliance exposure.
• Holder of SFC RA1 and RA2 licenses.
• Experience in corporate/investment banking client onboarding.

Responsibilities

• Onboard clients with sales; explain documentation.
• Perform CDD reviews and risk assessments.
• Deliver high-quality KYC/AML compliance.
• Manage AML/CFT risk assessments and reporting to stakeholders.
• Handle KYC/AML checks: World Check, CRS, FATCA.
• Ensure regulatory compliance and respond to audits.
• Escalate onboarding issues to Head of Operation.
• Promote front-office ownership of compliance.
• Attend AML/KYC seminars and provide training.
• Contribute to ad-hoc projects.

Skills

KYC/AML

Onboarding

Regulatory know-how

Interpersonal skills

Teamwork

Bilingual Eng/CN

Education

Bachelor’s degree or above

Tools

MS Office

Job description

Associate - Vice President, Client Services, Clearing and Operations Department

To ensure the Clearing and Operations are conducted in an efficient and effective manner, and to achieve the highest quality of output and performance in support of the businesses.

Key Responsibilities

• Work with Sales closely for client onboarding, e.g. explain the documentation requirements to clients, ensure the collection of client’s documentations are complete and accurate;
• Ensure timely, accurate CDD reviews and risk assessment of new accounts, existing accounts, screening of counterparties, tracking, escalation and resolution of CDD deferrals, account slated for exit;
• Deliver on the internal customer experience while maintaining the highest standards of CDD/KYC;
• Assist in conducting AML/CFT risk assessment reviews and communicating results to both internal and external stakeholders where applicable;
• Handle various client checks and reporting including KYC, AML, World Check, CRS and FATCA Check;
• Ensure full compliance of all applicable regulations, AML policies and procedures;
• Manage audit/regulatory inspections and ensure timely closure of audit issues and regulatory findings;
• Timely escalation of issues (relating to on-boarding) to Head of Operation;
• Facilitate the development of company-wide culture of Compliance – promote ownership of front office as the first line of defense through training and proactive engagement;
• Attend KYC/AML related seminar / training and provide training to the team and other relevant parties if necessary;
• Perform ad-hoc project work as identified.

Requirements

• Degree holder (or above);
• Holder of SFC RA1 and RA2 licenses representative;
• Strong and in-depth knowledge of client onboarding process, KYC, AML, documentation, regulations and market standards, having knowledge and experience on serving Brokerage and Investment banking clients will be an advantage;
• Minimum of 5 years of experience in corporate / investment banking client;
• Familiar with SFC regulation on KYC and AML requirements;
• Strong interpersonal skills, handling client’s enquiries tactfully and skillfully;
• Team-oriented, detail-minded, hardworking, independent, responsible and self-motivated;
• Fluency in English and Chinese (Mandarin and Cantonese) both verbal and written;
• Good knowledge of MS office package (Word, Excel, Powerpoint).