Associate / AD, Client Onboarding - Institutional Equities

About the role

The IE Client Onboarding team carries out KYC due diligence on new institutional equities clients in line with the firm's Global AML/KYC framework, working closely with external clients and internal stakeholders such as Compliance and KRM. The Associate / Associate Director manages the end-to-end onboarding process for clients across the APAC region.

Key responsibilities

• Gather, review and validate constitutional and supporting documentation, coordinating with external clients and internal teams; Mandarin is an advantage for liaising with Chinese stakeholders.
• Partner with Front Office, Compliance, AML, Operations, FATCA and others to deliver timely onboarding while meeting business and client expectations.
• Conduct KYC and customer due diligence reviews, assessing reputational, regulatory and operational risks, and perform client identification, verification and screening using external databases and tools.
• Perform an independent review of KYC work done by Makers to ensure accuracy, completeness and compliance.

Required profile

• Minimum 4-8 years of relevant experience in KYC and client onboarding, preferably in financial services; 8-15 years of experience may qualify for the Associate Director position.
• Basic reading, writing and speaking Mandarin is an added advantage.
• Strong understanding of corporate structures and constitutional documents, and working knowledge of periodic reviews for equity products.
• Excellent verbal and written communication skills are essential.

Required skills

• Knowledge of AML regulations, especially HK SFC and SG MAS requirements.
• Proficiency in Microsoft Word and Excel.
• Research and investigative skills, strong attention to detail, and good time management and stakeholder relationship skills.