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

China Securities (International) Finance Holding Company Limited; Hong Kong; Vor Ort; HKD 900.000 - 1.300.000; Vollzeit

Zusammenfassung

China Securities (International) Finance Holding Company Limited seeks an Associate to Vice President in Client Services within the Clearing and Operations Department. The role focuses on efficient onboarding, rigorous CDD/KYC, and strong regulatory compliance to support trading and client service excellence.

Responsibilities include coordinating with Sales on onboarding, conducting AML/CFT risk reviews, and ensuring timely regulatory reporting.

Qualifikationen

• Bachelor degree or above in finance or related field.
• Strong knowledge of KYC, AML, and regulatory requirements.
• Minimum 5 years in corporate/investment banking client services.

Aufgaben

• Lead client onboarding and collect documentation.
• Perform CDD reviews and risk assessments for new and existing accounts.
• Ensure compliance with AML policies and regulatory standards.
• Support audits and regulatory inspections, closing findings.
• Provide training on KYC/AML and promote compliance culture.
• Handle client inquiries with professionalism and accuracy.

Kenntnisse

Client onboarding

KYC & AML

Regulatory knowledge

Interpersonal skills

English & Chinese fluency

Ausbildung

Bachelor's degree or above

Tools

MS Office (Word, Excel, PowerPoint)

Jobbeschreibung

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).