Responsibilities:

• Compile and follow up daily investors’ account open forms and KYC documents, including CRS & FATCA tax documents for investor on board
• Check and scrutinize the completeness of various checklists for account opening, FATCA, AEOI-CRS, FATCA and CRS Reasonableness Test
• Liaise with FATCA programme team to share any risks/ issues and involve in planning risk mitigations/ workarounds.
• Manage and ensure policies and procedures are in compliance with Securities and Futures Ordinance and Codes and Guidelines;
• Assist in all SFC regulated activities to ensure full regulatory compliance and good market practice;

Requirements:

• Degree holder preferably in Law, Accountancy, Finance, or Business-related disciplines
• At least 2 years’ relevant experience expertise in KYC & AML gained in financial institutions
• AML Practice Qualification is preferred
• Knowledge in SFC Ordinance & AML Guidelines, UT Codes / FATCA and CRS Rules
• Team player with excellent interpersonal and communication skills
• Proficient in PC applications including Excel, Word and Chinese Word Processing
• Good command of both written and spoken English and Mandarin 
• Immediate available is preferred