Associate/ AD, Institutional Equities, Client Onboarding

Position Description

The IE Client Onboarding team performs KYC due diligence on new IE clients in line with the firm's Global AML/KYC framework, working closely with both external clients and internal stakeholders, including Compliance and KRM.

Key Areas of Responsibilities

• Manage the end-to-end client onboarding process for clients across the APAC region.
• Partner with Front Office, Compliance, AML, Operations, FATCA, and other stakeholders to ensure timely onboarding while meeting business and client expectations.
• Gather, review, and validate constitutional and supporting documentation, coordinating closely with external clients and internal teams. Mandarin language proficiency is an advantage due to need to liaise with Chinese stakeholders.
• Conduct KYC and customer due diligence reviews to assess and monitor client risk profiles, including reputational, regulatory, and operational risks.
• Perform client identification, verification, and screening checks using external databases and screening tools, ensuring compliance with internal AML policies and regulatory requirements.
• Perform independent review of KYC due diligence completed by Makers to ensure accuracy, completeness, and compliance with internal policies and regulatory requirements.

Requirements

• Minimum 4-8 years of relevant experience in KYC and Client Onboarding, preferably within the financial services industry. Candidates with more years of relevant experience (8 to 15 years) will be considered for Associate Director position.
• Basic proficiency in Mandarin (reading, writing, and speaking) would be an added advantage due to need to liaise with Chinese stakeholders.
• Strong understanding of corporate structures and constitutional documents.
• Working knowledge of periodic reviews for equity products.
• Strong attention to detail with a process-driven and risk-aware mindset.
• Excellent research and investigative skills, with the ability to analyze and resolve complex issues.
• Strong time management, organizational, and stakeholder relationship-building skills.
• Proficiency in Microsoft Word and Excel.
• Excellent communication skills (verbal and written) are a must-have.
• Knowledge of AML regulations, particularly in HK SFC and SG MAS requirements.

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