Manager - Middle Office

Our client, a leading international securities firm, is seeking a Middle Office expert to support the establishment and ongoing operation of its growing retail and institutional business in Hong Kong. This is an excellent opportunity for a seasoned KYC and Client Onboarding professional to play a key role in strengthening regulatory controls, enhancing operational processes, and driving digital transformation initiatives across the client lifecycle.

Key Responsibilities

• Oversee and perform end-to-end client onboarding, KYC, CDD, and EDD reviews for institutional, wealth management, and retail clients.
• Conduct AML/CFT assessments in accordance with SFC regulations, FATF recommendations, and internal compliance standards.
• Manage account opening processes and ensure all client documentation is complete, accurate, and compliant with regulatory requirements.
• Perform periodic and trigger event reviews, ensuring client records remain up to date and aligned with internal policies.
• Manage FATCA and CRS classifications, including collection and validation of tax documentation (W-8/W-9 forms) and reporting obligations.
• Conduct name screening reviews, investigate potential sanctions and PEP matches, minimize false positives, and escalate genuine hits where appropriate.
• Act as a key liaison between Front Office, Compliance, Legal, Operations, and regional stakeholders to facilitate smooth onboarding while maintaining strong risk controls.
• Participate in CRM, KYC, and digital onboarding enhancement projects, including workflow automation, data migration, and process optimization initiatives.
• Review and update onboarding policies, procedures, and operating manuals to reflect evolving regulatory and business requirements.
• Provide guidance on onboarding risks, compliance requirements, and remediation actions to internal stakeholders.

Requirements

• Bachelor's degree in Finance, Business Administration, Law, or a related discipline.
• Professional certifications such as CAMS, ICA, or equivalent are advantageous.
• 5+ years of relevant experience in Client Onboarding, KYC, AML, Compliance Operations, or Middle Office functions within a securities firm, investment bank, private bank, or other financial institution.
• Strong knowledge of:
  • SFC regulatory requirements
  • HKMA AML guidelines
  • FATF recommendations
  • FATCA and CRS reporting obligations
• Hands-on experience handling complex KYC reviews, corporate structures, UBO analysis, sanctions screening, and high-risk client onboarding.
• Proven track record in system implementation, KYC platform enhancements, workflow automation, or digital transformation projects.
• Knowledge of virtual asset regulations, VASP licensing, Travel Rule requirements, and crypto-related AML frameworks will be viewed favourably.
• Understanding of trade lifecycle processes across asset classes including equities, fixed income, and structured products is an advantage.
• Strong analytical, stakeholder management, and communication skills.
• Fluency in English and Chinese (Cantonese and/or Mandarin) is required.