Client Onboarding/ KYC Assistant Manager to VP (HKD600K-1m p.a.)

Andrea Mak; Hong Kong; On-site; HKD 600,000 - 1,000,000; Full time

Job summary

Andrea Mak is seeking an experienced Client Onboarding/ KYC Assistant Manager to VP for its Hong Kong operations. The role covers end-to-end onboarding for institutional and professional clients, ensuring AML/KYC compliance and timely activation of accounts and trading access.

You will coordinate with sales, compliance, and settlement teams, review regulatory forms, and optimise onboarding processes. Fluency in English, Cantonese and Mandarin is preferred to engage global clients.

Qualifications

• 3–8 years COB / KYC / client onboarding / securities operations experience in Hong Kong, Associate to VP level.
• Solid experience handling HK and international securities clients; familiar with SFC regulatory requirements.
• Hands-on onboarding for institutional / family office / corporate clients.

Responsibilities

• Lead full-cycle client onboarding for HK and international securities clients; collect documents and verify risk profiles and source of wealth.
• Coordinate with settlement, operations, trading and sales to open accounts and activate trading access.
• Review client agreements, tax forms, SSI, margin docs and regulatory forms.
• Resolve onboarding blockers, manage remediation and KYC refresh.
• Maintain COB workflow records, track SLA and optimize onboarding processes.
• Liaise with overseas counterparties and regulators when required.

Skills

COB/KYC experience

Securities operations

Multilingual communication

Job description

Client Onboarding/ KYC Assistant Manager to VP (HKD600K-1m p.a.)

This is a core Client Onboarding (COB) role within a Chinese Investment &Securities HouseHong Kong, covering HK and international securities clients. You will own end-to-end client onboarding, KYC, AML, due diligence, account setup and post-onboarding settlement coordination for institutional, family office, corporate and professional investor clients. Partner closely with sales, trading, compliance, legal and settlement teams to ensure smooth, timely client activation while fully adhering to SFC regulatory requirements.

Key Responsibilities

• Lead full-cycle client onboarding for Hong Kong and international securities clients: collect client documents, conduct risk profiling, beneficial owner identification, source of wealth / source of funds verification.
• Coordinate with settlement, operations, trading and sales teams to complete account opening, trading permission activation, settlement setup and client access to trading systems.
• Review client agreements, risk disclosures, W-8BEN / tax forms, standing settlement instructions (SSI), margin documentation and other regulatory forms.
• Resolve ad-hoc onboarding blockers, client queries and remediation requests; manage client remediation, periodic review and ongoing KYC refresh.
• Maintain COB workflow records, track SLA, elevate bottlenecks to stakeholders, continuously optimise onboarding processes.
• Support client settlement related coordination: align settlement instruction, pre-trade checks and resolve settlement exceptions for securities trades.
• Liaise with overseas counterparties, international clients and external auditors / regulators when required.

Requirements

• 3–8 years relevant COB / KYC / client onboarding / securities operations experience at Hong Kong licensed securities firm, target level Associate up to VP.
• Solid experience handling HK and international securities clients; familiar with SFC Code of Conduct, AML Ordinance, client due diligence rules.
• Hands-on experience with institutional / family office / corporate client onboarding, not only retail.
• Exposure to securities settlement workflow, SSI setup, trade settlement checking is a strong plus.
• Proficient in English, Cantonese and Mandarin, able to communicate with global clients and internal teams.
• HKSI papers preferred (Paper 1, 7 etc); existing SFC licences are advantageous but not mandatory.