Associate Director, KYC Operations, Operations

7 days ago

Hong Kong Island, China CLSA Full time HK$120,000 - HK$240,000 per year
Key Areas of Responsibilities

  • The main responsibilities include periodic review and other KYC-related tasks; client onboarding is not part of the scope.

  • lead the local team and coordinate with the Head of KYC Operations.

  • Identify, recommend, and assist in implementing process and technology improvements.

  • Act as SME to guide clients through the KYC Requirements and document variations.

  • Risk and regulatory classification of existing clients.

  • Interact with clients for periodic reviews and resolve issues from screening processes, escalating exceptions to AML or Compliance as appropriate.

  • Conduct in-depth analysis on client ownership structures via public sources or provided documents and support the team with additional confirmation or approvals if needed.

  • Verify submitted documents with external data sources and screening tools per Customer Identification Program.

  • Stay updated on process/regulatory changes and ensure open communication across regions.

  • Respond to internal audit queries on KYC processes and client files.

  • Other KYC-related tasks may be assigned from time to time.

  • undefined

Requirements

  • Bachelor's degree or above.

  • Minimum 5 years' relevant KYC/client onboarding experience, preferably in banking.

  • Experience with various client types (Institutions, Corporates, SPVs, Trusts, Funds, FIs).

  • Strong understanding of constitutional documents and corporate structures.

  • Excellent verbal and written communication.

  • Mandarin proficiency is advantageous for reviewing Chinese documents.

  • Knowledge of HK SFC AMLO and MAS KYC requirements necessary.

  • Industry knowledge, including products, markets, and front-to-back processes, a plus.

  • Attention to detail, process orientation, time management, organizational and relationship-building skills, and strong investigative ability.

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