Job ref no.: CT_20220602
Guosen Securities (HK) Financial Holdings Company Limited

Client Control Officer (Asset Management)

Guosen Securities (HK) Financial Holdings Company Limited


  • As a team member of Business Development business line in Asset Management Department to handle the tasks of daily operation of discretionary accounts, such as new account opening, account maintenance, system input, documentation review and filing
  • Conduct the Know Your Customer “KYC", Customer Due Diligence “CDD" process as per internal policy, and escalate to management for any suspicious and AML related risk factors during the processing
  • Coordinate with investment/operation/compliance team to update and review existing internal policies and procedures of discretionary account management to ensure prevailing investment practices are in full compliance with the relevant regulations and guidelines
  • Handle general enquiries from customers for the documentation requirement of account opening and maintenance base on internal policy.Conduct periodic review of assessment of client accounts.To liaise and work with internal investment/operation/compliance team to facilitate a smooth delivery of customer service and to accomplish assigned tasks
  • Support internal investigation request with other departments such as compliances, internal audit, etc.
  • Ad hoc projects as assigned by supervisor


  • Bachelor Degree in finance, business, or related disciplines
  • Minimum of 1-2 year of relevant experience in CDD/KYC process in financial institutions
  • Knowledge of the Hong Kong SFO (e.g., Code of Conduct, Fund Manager Code of Conduct). Knowledge in AML-CTF policies and guidelines will be an added advantage
  • Knowledge of operations procedures, products & facilities and customer requirements in asset management company
  • Proficiency in both English and Chinese (Cantonese & Mandarin)
  • Good at managing customers, able to communicate accurately and effectively
  • Cooperative, proactive with high sense of responsibility and teamwork
  • Good time management skills and ability to prioritise and work to tight timeframes, Meticulous attention to details


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 [via CTgoodjobs Apply Now ].

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More job information
Job ref no. CT_20220602
  • 5-day week
  • Competitive pay
  • Discretionary bonus
  • Family medical plan
  • Marriage leave
  • Medical plan
Job Function
  • Admiralty
Employment Term
  • Permanent
  • Full-time
  • 1 year - 2 years
Career Level
  • Entry level
  • Degree