Client Onboarding Operations Specialist, Securities Firm

Green Lake Executive Search Co. Limited; Hong Kong Island; Presencial; HKD 420.000 - 660.000; Jornada completa

Descripción de la vacante

Green Lake Executive Search Co. Limited is seeking a Client Onboarding Operations Specialist for a securities firm in Hong Kong. The role covers end-to-end FI onboarding and account opening, ensuring KYC/CDD data collection, verification, input, screening and archival within AML policies and regulatory requirements.

You will act as the operational bridge among Front Office, Legal & Compliance and Back Office, supporting maintenance, deferrals, UAT and process improvements under tight SLAs.

Formación

• Bachelor's degree or above, preferably in IT/CS or related discipline.
• Minimum 5 years of Operations experience within Financial Institutions.
• Experience with institutional client onboarding in Brokerage/Global Markets is required.
• Strong knowledge of FI documentation and AML/KYC/CDD operations.
• Excellent written and spoken English and Chinese communication.

Responsabilidades

• Own end-to-end FI onboarding and FI account opening lifecycle with tight SLAs.
• Gather, verify, input and archive KYC/CDD data; perform screenings.
• Clear deferrals, chase missing documents and liaise with Front Office and clients.
• Run daily checks (World-Check, sanctions, CRS, FATCA) and update CRM records.
• Bridge Front Office, Legal & Compliance and Back Office for smooth handoffs.
• Assist with UAT testing, data cleanup and process-improvement initiatives.

Educación

Bachelor's degree or above

Descripción del empleo

Client Onboarding Operations Specialist, Securities Firm

Responsible for end-to-end Financial Institution (FI) onboarding and the FI account opening lifecycle within Brokerage & Global Markets. The role ensures KYC/CDD data is collected, verified, input, screened and archived in compliance with internal AML policies and regulatory requirements, within tight SLAs. The specialist acts as the operational bridge between Front Office, Legal & Compliance and Back Office, and supports account maintenance, CDD deferral clearance, UAT and process improvement initiatives.

Key responsibilities

Own the end-to-end execution of Financial Institution (FI) onboarding, focusing on data gathering, system inputs, chasing outstanding documents, running screenings and clearing deferrals to ensure clients are onboarded within tight SLAs.

Drive the FI account opening lifecycle, including timely collection, verification and system input of KYC/CDD data, ensuring all documentation is validated and archived before account activation.

Proactively track, chase and resolve CDD deferrals, liaising with Front Office and clients to obtain missing documents and clear outstanding items promptly.

Execute daily operational checks, including World-Check, sanctions screening, CRS and FATCA classifications, and accurately update records in the client relationship management (CRM) system.

Strictly adhere to internal AML policies and regulations, identify documentation discrepancies and escalate red flags to the supervisor immediately.

Act as the operational bridge between Front Office, Legal and Compliance, and Back Office teams to ensure smooth handoffs and avoid bottlenecks.

Assist with system UAT testing, data clean-up and process improvement initiatives as required.

Support Client Onboarding Operations covering account opening review and account maintenance as required.

About you

Bachelor\'s degree or above, preferably in Information Technology, Computer Science or a related discipline.

Minimum 5 years of Operations experience within Financial Institutions, specifically handling institutional client onboarding.

Brokerage, Global Markets and Investment Banking experience is mandatory.

Strong operational knowledge of FI documentation.

Proven ability to handle high-volume queues with zero errors, proactively follow up and manage multiple cases simultaneously under pressure.

Experience leveraging AI to manage automation is preferred.

Excellent communication skills in both English and Chinese (spoken and written).

Within the last 7 years, demonstrated experience in Client Onboarding Operations, covering account opening review and account maintenance.

Experience in AI-enabled automation, process automation or operations automation.

Familiarity with World-Check, sanctions screening, CRS, FATCA, CRM systems and AML/KYC/CDD operations.

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Your application will include the following questions:

• How many years\' experience do you have as an Operations Specialist?

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