Customer Service & Dealing Officer (SFC Licensed)

Asia Pacific Securities Limited; Hong Kong; On-site; HKD 300,000 - 420,000; Full time

Benefits offered by this job

Weekends off

Medical insurance

Year-end bonus

Learning opportunities

Career progression

Job summary

Asia Pacific Securities Limited is seeking a Customer Service & Dealing Officer (SFC Licensed) in Hong Kong. The role covers client onboarding, KYC review, due diligence, and maintaining customer information systems while handling inquiries and trade order taking.

The candidate should hold an SFC Type 1 licence (Type 2 preferred) with at least 3 years of securities industry experience and fluency in Chinese and English, including Mandarin.

Qualifications

• Bachelor’s degree or above in a relevant discipline
• Holder of SFC Type 1 licence; Type 2 licence preferred
• Minimum 3 years of relevant experience in the securities industry
• Familiar with KYC, AML, CRS and FATCA procedures
• Familiar with securities account opening procedures
• Good written and spoken Chinese and English, fluent in Mandarin
• Candidates with Mainland background preferred
• Self-motivated, strong sense of responsibility, and customer-oriented
• Immediate availability preferred

Responsibilities

• Handle customer account opening and onboarding process, conduct KYC review and customer due diligence
• Perform customer information system maintenance, as well as regular and ad-hoc customer reviews
• Ensure all operations comply with internal company policies and regulatory requirements
• Handle customer enquiries via phone, email and other channels
• Assist customers with trade order taking
• Handle other related duties assigned by the supervisor

Skills

KYC procedures

AML procedures

CRS/FATCA

Securities account opening

Customer service

Education

Bachelor’s degree or higher

SFC Type 1 license

SFC Type 2 license (preferred)

Job description

Customer Service & Dealing Officer (SFC Licensed)

Job Overview
Responsible for customer account opening, KYC review, customer due diligence, customer information system maintenance, as well as handling customer enquiries and trade order taking. Relevant SFC licence is required, and familiarity with securities account opening procedures is essential. We offer weekends off, a stable work schedule from 9:00 to 18:00 with no overtime, medical insurance, year-end bonus, plenty of learning opportunities and good career progression prospects. The company is located in the core area of Wan Chai with a comfortable sea-view office environment. Candidates with industry experience are welcome to join!

Key Responsibilities

• Handle customer account opening and onboarding process, conduct KYC review and customer due diligence


• Perform customer information system maintenance, as well as regular and ad-hoc customer reviews


• Ensure all operations comply with internal company policies and regulatory requirements


• Handle customer enquiries via phone, email and other channels


• Assist customers with trade order taking


• Handle other related duties assigned by the supervisor

Requirements

• Bachelor’s degree or above in a relevant discipline


• Holder of SFC Type 1 licence; Type 2 licence preferred


• Minimum 3 years of relevant experience in the securities industry


• Familiar with KYC, AML, CRS and FATCA procedures


• Familiar with securities account opening procedures


• Good written and spoken Chinese and English, fluent in Mandarin


• Candidates with Mainland background preferred


• Self-motivated, strong sense of responsibility, and customer-oriented


• Immediate availability preferred

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Your application will include the following questions:

• Which of these industries have you worked in?


• Which of the following statements best describes your right to work in Hong Kong?


• What's your expected monthly basic salary?


• How many years' experience do you have as a Dealing Officer?


• Which of the following SFC Licenses do you hold?


• How would you rate your Mandarin language skills?


• How many years' experience do you have in the financial services industry?


• Have you completed a LCCI certification?