Client Onboarding/ KYC Assistant Manager to VP - Securities Brokerage(HKD600K-1m p.a.)

Role Overview

This is a core Client Onboarding (COB) role within a Chinese Investment & Securities House Hong Kong, covering HK and international securities clients. You will own end-to-end client onboarding, KYC, AML, due diligence, account setup and post-onboarding settlement coordination for institutional, family office, corporate and professional investor clients. Partner closely with sales, trading, compliance, legal and settlement teams to ensure smooth, timely client activation while fully adhering to SFC regulatory requirements.

Key Responsibilities

• Lead full-cycle client onboarding for Hong Kong and international securities clients: collect client documents, conduct risk profiling, beneficial owner identification, source of wealth / source of funds verification. • Conduct AML/KYC due diligence, prepare due diligence reports, escalate high-risk clients for compliance review, address internal compliance queries. • Coordinate with settlement, operations, trading and sales teams to complete account opening, trading permission activation, settlement setup and client access to trading systems. • Review client agreements, risk disclosures, W-8BEN / tax forms, standing settlement instructions (SSI), margin documentation and other regulatory forms. • Resolve ad-hoc onboarding blockers, client queries and remediation requests; manage client remediation, periodic review and ongoing KYC refresh. • Maintain COB workflow records, track SLA, escalate bottlenecks to stakeholders, continuously optimise onboarding processes. • Support client settlement related coordination: align settlement instruction, pre-trade checks and resolve settlement exceptions for securities trades. • Liaise with overseas counterparties, international clients and external auditors / regulators when required.

Requirements

• 3–8 years relevant COB / KYC / client onboarding / securities operations experience at Hong Kong licensed securities firm, target level Associate up to VP. • Solid experience handling HK and international securities clients ; familiar with SFC Code of Conduct, AML Ordinance, client due diligence rules. • Hands-on experience with institutional / family office / corporate client onboarding, not only retail. • Exposure to securities settlement workflow, SSI setup, trade settlement checking is a strong plus. • Proficient in English, Cantonese and Mandarin, able to communicate with global clients and internal teams. • Detail-oriented, strong stakeholder coordination skill, comfortable managing multiple urgent onboarding cases under tight deadlines. • HKSI papers preferred (Paper 1, 7 etc); existing SFC licences are advantageous but not mandatory.