Compliance VP/Associate - Client Onboarding
Regal Executives Limited
- Company Industries:Others
Job Information
- Post Date:2019-06-04
- Career Level:Not Specified
- Location:Central
- Yr(s) of Exp:3 years
- Qualification:Degree
- Salary:Salary negotiable
- Employment Type:Full Time, Permanent
- Job Function:Order Processing & Operation / Settlement
- Benefits:Dental insurance, Five-day work week, Performance bonus
Job Description
Job Highlights
- Experience in retail security house client onboard
- Handle KYC/AML and documentation review & approval
- Over 3 years relevant working experience in KYC/AML
Job Description
Responsibilities:
- Handle KYC/AML and documentation review & approval of new client onboarding & account opening of retail clients in terms of client risk levels
- Review & Approve Low and Average risk client onboarding
- Review High risk clients background and documents, coordinate closely with Legal & Compliance on such level of client onboarding’s approval
- Perform KYC/AML review & approval on client maintenance requests and documentation
- Conduct public and internal search to perform due diligence on client’s KYC profiles
- Create new client profile and maintain client/account information update and accuracy in the systems
Requirements:
- University graduated with over 3 years relevant working experience in KYC/AML areas within Finance industry
- Experience in retail security house client onboarding is preferable
- Familiar with SFC regulation on KYC and AML requirements
- Team-oriented, detail-minded, hardworking, independent, responsible and self-motivated
- Excellent command of spoken English, Mandarin and Cantonese; also written English, Simplified and Traditional Chinese
- Candidates with over 5 years of experiences will be considered ass V.P., less than 5 years will be considered as Associate.
- Proficiency in PC knowledge including MS Word, Excel, PowerPoint and Visio
Company Info
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