Client On-boarding Specialist
PRIMARY RESPONSBILITIES OF THE ROLE
1) Client Broker On-Boarding Activities
- Perform all on-boarding duties relating to the setup of institutional/retail clients brokers
- Initiate periodic client anti-money laundering and know-your-client reviews by ensure our clients are up-to-date with regards to updated AML Ordinance policy and procedures
- Participate in projects to track and organize client-related data and provide MI onboarding statistics
2) Client Account Management Activities
- Coordinate the setup of client/broker documents like broker agreements, commission sharing agreements and direct market access agreements.
- Participate in projects to track and organize electronic and hard-copy agreements
3) Future-state Preparations
- Contribute to projects relating to the departmental target operating model focusing on increased client operations interactions and providing value-added services such as operations client relationship management
ROLE PREREQUISITES
- 2 - 4 years professional experience
- Client on-boarding experience required
- Experience in the institutional cash equities field
- Knowledgeable on SFC AML Ordinance guidelines and applicability
- Fluent in English with Cantonese reading/writing skills (Chinese is also a plus)
- Highly proficient in using Microsoft Excel (VBA programming is also a plus)
PRIMARY KEY PERFORMANCE INDICATORS
The KPIs include, but are not limited to, the following:
- Providing our clients with best-in-class on-boarding service
- Proactive participation in projects and ad-hoc tasks
- Communication capabilities within the department and with the Business
- Timely support of the Team Leader and Manager
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