Client Onboarding Manager

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • Guosen Securities (HK) Financial Holdings Co Ltd
  • 12 Aug 17

Guosen Securities (Hong Kong) Financial Holdings Co., Ltd, incorporated in Hong Kong, is a wholly-owned subsidiary of Guosen Securities Co., Ltd., one of the top ranked financial institutions for securities trading and stock listing offers in China. To cope with the Company's rapid expansion, we invite high caliber personnel to fill the following position:



  • Lead a small team to conduct the client onboarding process in the securities brokerage business
  • Perform quality checking on the Customer Due Diligence (CDD), Know Your Client (KYC), Name Screening, Risk Level Assessment of new and existing clients
  • Responsible for checking and record-keeping of the account opening documents, including individual & corporate account etc.
  • Act as a Subject Matter Expert to resolve daily Client Onboarding issues with other departments and external counterparties
  • Ensure team efficiency in completing the daily Client Onboarding routine tasks
  • Provide guidance and coaching to the client onboarding team
  • Work closely with Compliance, Business and related departments regarding all clients data issue
  • Participate in various projects such as FATCA, CRS and other upcoming regulatory projects as required
  • Responsible for formulating new workflow and streamlining the departmental procedures manual
  • To perform ad hoc projects as required



  • Degree holder in Business, Finance or other related disciplines
  • Minimum 5 years of relevant experience in Client Onboarding and CDD / KYC / AML in investment and securities business with 2-3 years supervisory experiences
  • Sound knowledge of local and regional rules and regulations for financial institution
  • Proficient in MS Office applications (e.g. Word, Excel, PowerPoint) and Chinese word processing
  • Good command of written and spoken English and Chinese, fluency in Putonghua
  • Strong sense of responsibility, independent, initiative & excellent communication skill


Attractive remuneration will be offered to the right candidate.  Interested parties please email your full resume with present & expected salary and date of availability to OR via "Apply ".


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