Responsibilities:

1. Conduct quality review of account opening documents, KYC records, and AML assessments to ensure completeness and regulatory compliance;

2. Perform CDD/KYC evaluations for individual, corporate, trust, and institutional accounts;

3. Conduct periodic reviews of existing client profiles, ensuring timely updates to risk ratings and client data in line with regulatory changes;

4. Collaborate with Compliance, front-office, and operations teams to resolve complex due diligence cases and documentation issues;

5. Participate in the review and enhancement of account opening and due diligence procedures, contributing to internal policy formulation;

6. Perform ad-hoc assignments as required.

Requirements:

1. Bachelor's degree or above in Business/ Finance or other related disciplines;

2. Minimum 3 years of relevant CDD/KYC/AML experience in a brokerage or financial institution;

3. Sound knowledge of SFC regulatory framework and AML guidelines, with familiarity with account documentation requirements for various client types;

4. Qualified for SFC licenses 1 & 2 would be an advantage;

5. Strong risk awareness with a detail-oriented and independent working style;

6. Excellent cross-departmental communication skills; proficient in Cantonese, Mandarin, and English with good written Chinese and English.