Associate, Client Onboarding, Equity Derivatives
Core
Supports client account opening and AML/KYC checks for the Equity Derivatives Department.
Role type
Associate, Client Onboarding
Builds
Client accounts compliant with AML/CFT regulations
Domain
Financial services, Equity Derivatives, Regulatory Compliance
Deliverable
client delivery
Required skills
KYC workflow execution, AML/CFT regulatory compliance, stakeholder liaison, document verification, Politically Exposed Persons (PEP) handling, ISDA/GMRA/GMSLA agreement coordination
Preferred skills
Financial markets knowledge, derivative instruments knowledge, Hong Kong SFC requirements knowledge, World Check One familiarity
Technologies
World Check One
Responsibilities
Manage end-to-end client account opening workflow, Verify submitted documents against Customer Identification Program, Liaise with Sales, Middle Office, Compliance, and clients for documentation, Coordinate agreement negotiation and execution paperwork with Legal and Credit teams, Resolve screening process issues and escalate exceptions
Seniority
Mid-level, hands-on IC