Posted on 2022-07-20
Guosen Securities (HK) Financial Holdings Company Limited

Client Control Officer (Client On-boarding)

Guosen Securities (HK) Financial Holdings Company Limited


  • Assist business units to onboard institutional and corporate clients
  • Responsible for verification on the Customer Due Diligence (CDD), Know Your Client (KYC), Name Screening, Risk Level Assessment of new and existing clients
  • Ensure timely, complete and accurate documentation review for all client account opening records (including both individuals and corporates)
  • Conduct periodic review on the existing client information
  • Clients’ static data input and data maintenance
  • Work closely with Compliance, Business and related departments regarding all clients’ data issue
  • Participate in various projects such as data system upgrade, FATCA, CRS, AML name screening and other upcoming regulatory projects as required
  • Assist to formulate the daily client onboarding workflow and streamline the departmental procedures manual
  • To perform ad hoc projects as required


  • Degree holder in Business, Finance or other related disciplines
  • 2 - 3 year of relevant experience in Client Onboarding and CDD / KYC / AML in investment and securities business, candidate with less experience will be considered as assistant
  • Sound knowledge of local and regional rules and regulations for financial institution
  • Detail-minded and be able to cope with data work
  • 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
  • Independent, self-initiative and good interpersonal skills
  • SFC License holder of Type 1 and 2 is a bonus

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

Personal data collected would be used for recruitment purpose only.

More job information
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Medical plan
Job Function
  • Admiralty
Employment Term
  • Permanent
  • Full-time
  • 2 years - 3 years
Career Level
  • Entry level
  • Degree