- Anti Money Laundering (AML)
- Due Diligence
- Know Your Customer (KYC)
- Management Reporting
- Wealth Management
Customer On Boarding Manager - Broking Services
Location: Asia Pacific-Hong Kong-Hong Kong Island-Central
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Within Retail Banking and Wealth Management, Broking Services provides full investment services in stocks, bonds, currencies, precious metals, commodities and derivatives to retail, corporate customers and financial intermediaries. As a leading full service broker dealer in Hong Kong, our investment services include advisory, execution, risk and portfolio management, custodianship, and margin financing.
We are currently seeking a high caliber professional to join our team as Customer On-Boarding Manager.
Act as the Project manager for various projects such as Foreign Account Tax Compliance Act, Global Standards, System User Acceptance Test and other upcoming regulatory projects.
Responsible for Management reporting tracking and reporting for customer onboarding team.
Assist in managing the daily operations.
Assist on managing the Customer Due Diligence or Know Your Client and customer onboarding business as usual
Responsible for managing the remediation projects
Ad hoc tasks on requests
Act as a liaison and work with project team or Business Risk Control Management on the required projects.
Responsible for end to end design to implementation of Management Information reports.
Responsible for updating departmental procedures manual.
Project Owner for every new Customer Due Diligence or Know Your Client related business initiatives
Account Opening Quality Check and Final Approver for Customer On Boarding Process
Assist Senior Customer Onboarding Manager to ensure team efficiency in completing daily routine Customer Onboarding tasks
An Subject Matter Expert to resolve or address daily Customer Onboarding issues from both external and internal counterparties
Provide guidance and coaching to junior team members
Degree holder, with extensive working experience in Retail Bank, Wealth Management or Brokerage business
Strong business understanding of Retail Banking and Wealth Management or Brokerage objectives and operating approach as well as Group policies and standards
Strong knowledge of products and process in Retail Banking and Wealth Management, in particular customer Know Your Customer, Suitability requirements, Customer Due Diligence Anti Money Laundering and Sanctions related
Demonstrated experience in delivering large scale business initiatives and projects ideally in the regulatory space within a Retail Banking and Wealth Management or Brokerage business context
Good understanding of the Functional Instruction Manual, and other external and internal policy related to Retail Banking and Wealth Management or Brokerage business
Proven leadership ability or experience working with and managing large teams with diverse stakeholders will be preferred
Strong oral and written communication skills, coupled with stakeholder management skills at the executive level.
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|Career Level||Junior (less than 3 years)|