Associate Director, Client Onboarding Asia, Operations, CFCM, Investment Banking
Core
Lead the Client Onboarding (COB) team to manage account openings, KYC/AML checks, and risk classification for new and existing clients in Investment Banking.
Role type
Associate Director, Client Onboarding Operations
Builds
Client trading accounts and compliant onboarding processes
Domain
Investment Banking / Corporate Finance / Regulatory Compliance
Deliverable
client delivery
Required skills
AML/KYC process expertise, client account opening, stakeholder management, risk classification, regulatory standards compliance, database management, complex issue resolution
Preferred skills
Master's degree in Finance/Business, experience with WorldCheck One, knowledge of HK Professional Investor Policy
Technologies
WorldCheck One
Responsibilities
Lead the COB team and perform project-related KYC/AML checks and client trading account openings; Provide oversight for collecting constitutional documents and managing the account opening process; Ensure team compliance with Customer Identification Program and regulatory standards; Classify clients from a risk and regulatory perspective; Resolve complex screening issues and escalate exceptions; Maintain oversight of team workload and document database for Compliance/Legal/Audit vetting.
Seniority
Associate Director, leadership & operations