KYC Manager, IB, HKD50-60k
Location : Central and Western District
Post Date : 26 June 2017
Our client is a Chinese investment services company, with it's core business of its subsidiaries comprises three main areas: pre-IPO, IPO and post-IPO. They offers a full range of products and services including sponsoring and underwriting, financial advisory, corporate mergers and acquisitions, restructuring, asset management, securities brokerage, investment consultancy and commodity trading. The corporate financing and capital market services have raised over HK$2 trillion from the global equity market for over 100 companies. Our client is looking for an experienced and knowledgeable candidate for their KYC team, Manager level, to work alongside the MLRO and Head of Operations.
- 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.
- Identify gaps and implement on-boarding controls and systems/process enhancement that are fit for purpose and will address current and future requirements in a rapidly changing regulatory environment and an evolving AML landscape, in line with industry best practices.
- Assist Head of Operation and MLRO in the discharge of their duties as required from time to time.
- 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 or MLRO.
- Facilitate the development of company-wide culture of Compliance - promote ownership of front office as first line of defence through training and proactive engagement.
- Deliver on the internal customer experience while maintaining the highest standards of CDD/KYC.
- Deliver on the People Agenda - strengthen the bench strength, retain talents, optimize allocation of resources
- Handle various client checks including KYC, AML, CRS, World Check and FATCA Check
- Handle equities placing documents with ECM or sales trading team
- Attend KYC/AML related seminar / training and provide training to the team and other relevant parties if necessary
- University degree holder in Finance or related discipline
- Minimum 8 years' relevant experience in financial institutions with at least 2-3 years in a supervisory roleGood knowledge in company formation and documentation requirements for different jurisdictions
- Well-versed with HKMA and SFO policies
- Well versed with regulatory requirement on account opening, KYC and AML
- Holder of SFC RA Type 1 Representative license
- Good command of written and spoken English
- Proficient in Microsoft Office, strong at Microsoft Word / Excel
- Demonstrate ability to drive change initiatives and project implementation
- Self-motivated and willing to work overtime when required
- Detailed and meticulous
- Ability to multi-task
- Works efficiently in fast-paced environment
To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.
41 Connaught Road,