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The candidate will be part of the Onboarding & Implementation team supporting all aspects of onboarding and account setup matters. The team is responsible for putting in place and executing proper due diligence, independent controls and reporting mechanisms for the onboarding of new counterparties or implementation of new businesses. In addition, on an ongoing basis, the team is required to maintain and keep up to date all account information and documentation in accordance with established procedures, as well as KYC best practices. The team works closely with all levels of both front and back offices to integrate processes and control procedures to ensure company risk is protected and customers’ needs are met.


Your primary responsibilities will be:

Due diligence and KYC (initial and ongoing)

  • Main contact point with Front office on KYC requirements and AML matters;

  • Review account opening applications and documentation for completeness and sufficiency;

  • Conduct due diligence and ask questions on background and nature of business of customer/counterparty to gain understanding on their profile and source of funds;

  • Ensure compliance against AML requirements;

  • Ongoing reviews (including name-screening) and customer/counterparty profile maintenance;

  • Discuss and recommend to Manager, high-risk counterparties and complex KYC/AML issues.

Accounts Setup & maintenance

  • Liaise with Front-office on account set-up requirements;

  • Responsible for data maintenance relating to customer and commission information on backoffice systems;

  • Set-up accounts with relevant upstream counterparties (on behalf of customers) where necessary;

  • Investigate & resolve any account setup issues on respective backoffice systems;

  • Timely update of particulars of customers and/or counterparties in the respective systems upon request;

  • Ensure completeness with sufficiency of documentation for record keeping as part of account maintenance.

  • Process improvements and any other ad-hoc projects


You should possess the following:

  • A minimum of a Degree or Diploma in Finance, Business, Accountancy or equivalent

  • At least 2-3 years of relevant working experience in financial services industry, preferably familiar with AML/KYC tools & due diligence processes

  • Meticulous and analytical with eye for details & alertness to AML risks

  • Ability to multi-task and manage multiple streams of work concurrently

  • Process-oriented and able to work well under pressure in a fast paced operational environment;

  • Strong interpersonal skill and facilitation abilities

  • Team player but able to work independently under minimal supervision

  • Excellent written and verbal communication skills

  • Fluency in both Mandarin and English are essential as the job requires dealings with Chinese speaking Associates

  • Proficient in Microsoft Office

  • Immediate availability will be viewed favourably

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Onboarding & Implementation Associate/Executive

April 10, 2024
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