Job ref no.: CT3122109-01#0025
Southwest Securities (HK) Financial Management Limited

Head of Customer Services

Southwest Securities (HK) Financial Management Limited

  • 5-day week
  • Birthday leave
  • Compassionate leave
  • Competitive pay
  • Dental plan
  • Discretionary bonus
  • Examination leave
  • Extra maternity leave
  • Extra paternity leave
  • Insurance plan
  • Marriage leave
  • Medical plan
  • Special / extra leave
  • … + 7 more

Job Responsibilities:
• Lead a team to provide professional customer services to priority local & cross-border clients
• Manage a team responsible for accurate and timely delivery of KYC / AML / Client Due Diligence services
• Perform checker function on client master records
• Ensure data accuracy in account opening and data maintenance
• Overall monitor the clients’ account status and ensure the accounts are regularly and accurately updated
• Continuously review and streamline the client onboarding process to align with the latest KYC requirement and shorten processing time
• Ensure full awareness of and adherence to the company policy and operation procedures
• Handle and ensure client document and reporting comply with internal process standards
• Control and oversee the overall output quality of the team and constant coaching to ensure team members have enough job knowledge
• Support the implementation of FATCA requirements
• Liaise with frontline/compliance/other supporting units to ensure clients’ account or related documentation is in comply with internal guidelines and local regulatory requirements
• Handle customers’ feedback and complaints independently with solutions and follow-up actions proactively for service enhancement
• Prepare various reports, organize regular trainings on account documentation
• Ad-hoc tasks as assigned; Participate in any system enhancement UAT, and projects assigned
• Timely escalation to next level supervision on unresolved issues

Job Requirements:

• University degree holder or above in Business, Management or Finance related disciplines
• Minimum 8 years’ relevant experience in securities industries, at least 5 years in supervisory level
• Good knowledge of KYC / AML / CDD or relevant regulatory and policies
• Solid experience in handling CIES clients preferred
• Excellent knowledge of account documentation on various types of accounts, including but not limited to CIES, Individuals, Corporate and Financial Institution
• Customer-oriented, organized and efficient
• Ability to analyse situations, prioritise and implement processes effectively
• Strong awareness in compliance of regulations, internal guideline and standards
• Be patient, presentable with strong communication and interpersonal skills
• Conversant with MS Office application and Chinese word processing
• Good command of spoken and written English and Chinese (Cantonese and Mandarin)


Attractive package will be offered to right candidate.  Interested parties please send both Chinese & English resume with current and expected salary to the Human Resources Department at 40/F., Lee Garden One, 33 Hysan Avenue, Causeway Bay, Hong Kong or email.


Data collected will be used for recruitment purpose only.

More job information
Job ref no. CT3122109-01#0025
  • N/A
Job Function
  • Causeway Bay
Employment Term
  • Permanent
  • Full-time
  • 5 years - 20 years or above
Career Level
  • Middle management level
  • Degree
  • Master's degree