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

NexusSearch; Hong Kong; Sur place; HKD 600 000 - 900 000; Plein temps

Résumé du poste

NexusSearch in Hong Kong seeks an experienced Client Onboarding professional to manage end-to-end onboarding for institutional, family office, and corporate clients, including KYC/AML, due diligence, document checks, and account setup in line with SFC rules.

You will work closely with Sales, Compliance, Legal and Settlement teams to ensure timely client activation and ongoing KYC refresh for both HK and international clients.

Qualifications

• 3–8 years COB / KYC / client onboarding / securities operations experience at a Hong Kong licensed securities firm.
• Solid experience handling HK and international securities clients; familiar with SFC Code of Conduct, AML Ordinance.
• Hands-on experience with institutional / family office / corporate client onboarding.

Responsabilités

• Lead full-cycle client onboarding for HK and international securities clients, including risk profiling and KYC/AML due diligence.
• Coordinate with settlement, operations, trading and sales teams to complete account opening and settlement setup.
• Review client agreements, tax forms, and regulatory documents; manage remediation and ongoing KYC refresh.

Connaissances

KYC

AML

Onboarding

Securities

Description du poste

Role Overview

This is a core Client Onboarding (COB) role within a Chinese Investment & Securities House Hong 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.

This is a core Client Onboarding (COB) role within a Chinese Investment & Securities House Hong 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.
• Conduct AML/KYC due diligence, prepare due diligence reports, elevate high-risk clients for compliance review, address internal compliance queries.
• 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.
• Detail-oriented, strong stakeholder coordination skill, comfortable managing multiple urgent onboarding cases under tight deadlines.
• HKSI papers preferred (Paper 1, 7 etc); existing SFC licences are advantageous but not mandatory.