CDD Maker & Checker

岗位职责
About the Role
We are looking for a detail-oriented and risk-aware CDD Officer (maker & checker) to manage end-to-end client onboarding, including KYC/CDD review, AML due diligence, and account opening for both retail and corporate clients.
This role is essential in ensuring that all client onboarding activities are conducted in full compliance with regulatory requirements, internal compliance policies, and operational standards.
The ideal candidate will have hands-on experience in brokerage, banking, asset management, or financial services, along with a strong understanding of Hong Kong regulatory expectations and institutional onboarding workflows.

Key Responsibilities：
1.Client Onboarding Review (KYC / CDD)
Conduct onboarding review for retail and corporate clients in accordance with the regulatory requirements of SFC and the company policies.
Ensure client information and supporting documents are complete, accurate, and valid.
Analyze and assess customer information, documentation, and activities to identify potential risks.
Perform KYC/CDD checks and account due diligence for new clients and maintain accurate and detailed records of CDD processes and findings.
2.AML / Compliance Support
Support AML review, sanctions screening, adverse media review, and high-risk client escalation.
Assist in identifying suspicious patterns or compliance concerns during onboarding and promptly report any suspicious activities or discrepancies to senior management
Stay updated on the latest regulatory changes and industry best practices and support financial crime risk control processes in line with internal AML policies.
3.Client Follow-up & Workflow Improvements
Follow up with clients/RM/CS team on outstanding onboarding documents via email, phone, or other communication channels to ensure timely completion and improve conversion efficiency.
Analyze onboarding cases and operational processes, and propose workflow improvements to enhance onboarding efficiency and client experience.
Collaborate with Sales, Compliance, Product, and Operations teams to facilitate account opening, to ensure full compliance with all relevant regulations.

岗位要求
Requirements:
Bachelor’s degree in Finance, Business, or related field.
3-5 years of experience in customer due diligence or a similar role within the financial industry cover Institutional client.　
Candidates with less experience will also be considered for the role of CDD Maker.
Experience in handling clients such as Personal Investment Corporations (PIC) and Wealth Holding Vehicles (WHV) is highly preferred.
Strong understanding of regulatory requirements and compliance standards.
Excellent analytical and problem-solving skills. Good problem-solving mindset and process improvement awareness
Attention to detail and high level of accuracy.
Strong communication and interpersonal skills.
Proficiency in using compliance and risk management software.
Preferred Qualifications:
Certification in AML (Anti-Money Laundering) or related compliance areas.
Previous experience in a similar role within a large financial institution.
Fluent in English and Chinese (written and spoken). Cantonese and Mandarin are both preferred.