• Manage PWM Client Onboarding processes to review client due diligence, account opening documents and customer data management;
• Perform KYC and AML checks on customer account documentation to ensure full compliance with internal and external rules and regulations;
• Administer Periodic CDD / Trigger Event Review maintenance of account documentation, transaction review, ongoing name screening and other account monitoring controls;
• Provide advice and guidance to client facing staff regarding inquiries on KYC/AML requirements;
• Full compliance with internal guidelines and those stipulated from the regulators;
• Perform all-rounded customers’ account maintenance services including document checking, data input, clients’ document scanning, filing and indexing
• Perform ad-hoc projects as assigned

• Bachelor degree holders and above;
• 3 + Years Client onboarding relevant experience in financial institutions;
• Familiar with securities business;
• Excellent communication and interpersonal skills;
• Strong analytical skills and problem-solving abilities;
• Detail oriented and able to multi task and work under pressure;
• Proficiency in spoken and written Mandarin and English.

Established in 2006, Huatai Financial Holdings (Hong Kong) Limited (“HTHK”) is a wholly-owned subsidiary of Huatai Securities Co. Limited (“Huatai Securities”), a publicly listed company on Shanghai Stock Exchange since 2010. Huatai Securities is one of the first groups of securities firms established in China approved by China Securities Regulatory Commission and the People’s Bank of China. Since 2010, Huatai Securities has over 6 million brokerage clients and almost CNY one trillion of custody assets.  HTHK's current business includes securities, futures brokerage and asset management, including HTHK’s RQFII quota, which was granted in 2010.

In 2014, HTHK is embarking on a build out of an overseas investment banking platform with specialized services such as underwriting, private investments, and structured finance. Our services will further expand to corporate finance including financial advisory and merger and acquisition. Our new international platform will allow HTHK to provide a seamless platform for our parent company’s extensive client resources to explore international opportunities as well as to offer world class service to our institutional investors to gain insight and access to our mainland domestic market capabilities. Currently we are seeking high calibre candidates to join for our rapid expansion :