What Jobs are available for Due Diligence in Hong Kong?

Company background:

• A banking based SOE investment bank/ fund house /securities firm hybrid.
• Business coverage: Global Markets, Asset Management, Proprietary trading, Capital Markets, IBD,(SFC 1,4,6,9).

Responsibility:

• Manage and optimize the end-to-end overseas client account opening and access processes, with a focus on streamlining workflows and handling setups in high-risk jurisdictions to enhance efficiency and compliance.
• Perform comprehensive client background investigations (COB), enhanced due diligence (EDD), KYC assessments, and AML screenings for overseas and domestic clients, aligning with FATF standards and cross-border regulatory requirements.
• Oversee the collection, reporting, and monitoring of tax information for overseas clients, implementing frameworks such as FATCA, MiFID II, and CRS to maintain full compliance and avoid regulatory penalties.
• Serve as the key coordinator for documentation and queries involving overseas clients and internal front-, middle-, and back-office teams, ensuring all communications are accurate, compliant, and delivered promptly.
• Collaborate with Risk Control, Legal, and Business Development teams to establish and refine AML monitoring and compliance processes for overseas clients, ensuring alignment with internal policies and regulators.
• Draft, review, and continuously update operational policies, procedures, and SOPs for client due diligence and AML activities, incorporating regulatory updates and audit feedback.
• Contribute to system implementation projects, including user acceptance testing (UAT), to drive automation and digital transformation of due diligence workflows for greater scalability.
• Undertake additional ad hoc tasks as assigned by senior management, such as supporting audits or training initiatives.

Requirement:

• Bachelor's degree or higher in a related field.
• Approximately 7 years or above of experience in financial client management across domestic and international contexts, with proven expertise in CDD, KYC, and AML processes within securities and investment operations.
• Strong familiarity with international AML frameworks (e.g., FATF) and proficiency in local (Hong Kong), regional, and global financial regulations; excellent skills in identifying and managing cross-border compliance risks.
• Good Command in written and spoken proficiency in English and Chinese, with the capability to independently manage English-language compliance documents, client communications, and regulatory reports.
• Detail-oriented professional with a robust risk and compliance mindset, strong communication and coordination abilities, and a proactive, accountable approach in a high-pressure environment.

• Engage in Customer Due Diligence process for onboarding, periodic review and trigger event review
• Analyze KYC information and documents
• Contact customers to complete CDD requirements within defined service level
• Comply with relevant regulatory requirements and the Bank's internal policies. and guidelines

• Higher Diploma or above with major in Banking and Finance, Business Administration, Economics or other related disciplines.
• Relevant qualification in CAMS, AAMLP Core Level, Six Sigma Green Belt holder will be an advantage.
• 3 years working experience or above in Banking or Finance or other related fields.
• Knowledge of Microsoft software (Word, Excel, PowerPoint) and Chinese word processing.
• Self-motivated, able to work independently and willing to accept challenges.
• Good command of both verbal and written English and Chinese

Job Responsibilities:

• Responsible for onboarding insurance companies, banks, and referral partners ("Business Partners"), as well as conducting annual reviews for all Business Partners.
• Compliance for all Business Partners and clients, ensuring that the operations meet regulatory standards and best practices.
• Ensure timely, accurate due diligence reviews and risk assessment of new onboarding agreement of relevant Business Partners in both HK & SG.
• Perform detailed KYC analysis for Business Partners and clients including reviewing organizational structures, geographical locations, shareholder percentages, and relationships among headquarters, parent companies, subsidiaries, and affiliates.
• Perform periodical checking on ongoing Due Diligence periodic review of existing agreements.
• Cooperate with internal stakeholder to conduct periodical review on existing Business Partners and response to the request from Business Partners.
• Cooperate with relevant stakeholders to conduct compliance due diligence on new and existing Business Partners and clients of different services.
• Analyse KYC / WC information to identify potential risks associated with clients and recommend appropriate actions.
• Collaborate with compliance and risk management teams to ensure all KYC / WC processes align with local and international regulations.
• Prepare, revise, and maintain proper operational procedures and policies to ensure alignment with regulatory and business standards.
• Keep a systematic filing record of all contracts, reviewing and relevant documents.
• Liaise with different stakeholders to facilitate framework review.
• Perform other assigned tasks as needed, such as routine reporting or team support.

Job Requirements:

• Bachelor's degree in Finance, Business Administration, Law, or a related field.
• 2 - 5 years of experience in due diligence, compliance, or risk management.
• Strong understanding of KYC regulations and practices, as well as global sanction lists.
• Excellent analytical and problem-solving skills.
• Strong communication and interpersonal skills.
• Proficient in using compliance software and tools (e.g., World-Check).

Job Description
What is the opportunity?
As part of the Client Due Diligence Team, you will be responsible for supporting Wealth Management Business on client onboarding and trigger event review with a major focus on personal high net worth clients, offshore companies, family trust structure clients.

What will you do?

• Ensure KYC profiles submitted by Front Office meet the internal policy and regulatory requirements.
• Ensure all account opening documentation complies with and meets all applicable legal and regulatory requirements prior to onboarding.
• Provide advice and training to all new RMs and RMOs on client onboarding matters.
• Liaise with key stakeholders in escalation of high-risk accounts and document exceptions and findings.
• Conduct QA checks relating to AML and CDD requirements.
• Act as intermediary between Front Office and Back Office on any issues that has been escalated for urgent resolution.
• Maintain the department procedure and policy manuals.
• Participate in projects such as system UAT and follow up on system enhancement/implementation when necessary.
• Assist in other ad-hoc projects and client related matters as well as audit.

What do you need to succeed?

• Degree holder or equivalent.
• The role would typically require 3-5 years' experience in client onboarding, KYC or AML functions in wealth management or private banking.
• Team player.
• Analytical thinker, problem solver, resourceful.
• Ability to provide client focus solutions which complies with internal policies and regulatory requirements.
• Strong presentation, communication and interpersonal skills.
• Have experience in reviewing and approving all risk accounts including high risk accounts.

What's in it for you?
We thrive on the challenge to be our best - progressive thinking to keep growing and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program including bonuses, flexible benefits and competitive compensation
• Leaders who support your development through coaching and managing opportunities
• Opportunities to work with the best in the field
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• A world-class training program in financial services.

Agency Notice
RBC Group does not accept agency resumés. Please do not forward resumés to our employees, nor any other company location. RBC Group only pay fees to agencies where they have entered into a prior agreement to do so and in any event do not pay fees related to unsolicited resumés. Please contact the Recruitment function for additio
nal
details.
Job Skills
Bank Accounts, Communication, Decision Making, Detail-Oriented, Due Diligence, People Management, Taking Ownership, Wealth Management

Additional Job Details
Address:
979 KING'S ROAD:HONG KONG

City:
Hong Kong

Country:
Hong Kong

Work hours/week:
40

Employment Type:
Full time

Platform:
WEALTH MANAGEMENT

Job Type:
Regular

Pay Type:
Salaried

Posted Date:

Application Deadline:

Note
:
Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
I
*nclusion *
and Equal Opportunity Employment
At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

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We're now looking for Due Diligence Officer for our clients. Candidates with CDD experience in banking, big 4 auditing or financial institution is welcomed.

Requirements:

• Participate in CDD for client onboarding, periodic and trigger event reviews

• Perform KYC analysis and documentation checks

• Liaise with customers to collect missing CDD info within service targets

Requirements:

• Bachelor's degree in Business, Finance, or related field

• Min. 1 year related experience (branch operations front or back bank office)

• Proficient in Microsoft Office & Chinese word processing

• Self-motivated and independent worker

• Fluent in English, Chinese, and Mandarin (written and spoken)

• Participate in the Customer Due Diligence (CDD) process for client onboarding, periodic reviews, and trigger event reviews within the branch or back office.
• Perform Know Your Customer (KYC) analysis and document checks on customer profiles.
• Liaise with customers to obtain incomplete or outstanding CDD information and documentation within the required service level.

• Bachelor's degree or above in Business, Finance, or a related discipline.
• Minimum of 1 year of banking experience, preferably in branch operations (Both front & back office will be accepted).
• Proficient in Microsoft Office applications (Word, Excel, PowerPoint) and Chinese word processing.
• Self-motivated, with the ability to work independently and a willingness to take on challenges.
• Fluency in written and spoken English, Chinese, and Mandarin.

If you are interested, please send me your CV to with your expected salary and notice period. You might also contact for private discussion.

Job PurposeTo perform checker role and quality assurance on periodic review, trigger event review, and EDD conducted by maker of Customer Due Diligence ("CDD") team, and to support line managers in managing team of makers and/or checkers. Key Responsibilities

• Follow up with the collection of detailed customer information and supporting documentation required for the completion of CDD reviews and trigger event reviews
• Support line manager in leading, coaching and motivating the team that are responsible to complete CDD profile for periodic reviews and triggered reviews
• Check the completeness and quality of all review documents submitted by CDD makers, including but not limited to the updated customer information, necessary risk and AML assessments, and internal forms, etc.
• Review Name Screening under the Bank's AML / CTF program
• Review potential breach cases of Sanctions under the Bank's AML / CTF program
• Support team head to drive continuous improvement initiatives to improve operational excellence, streamline and simplify the process, increase productivity, and enhance quality
• Liaise with BU and customers to handle escalated cases from makers to ensure customer satisfaction and case completeness
• Support team head to maintain an environment in which customer focus, compliance and risk control are key performance criteria
• Provide coaching and training to junior staff of the team

Requirements

• University degree in a related discipline or other relevant qualifications
• Minimum 3 years of CDD/ KYC related experience in banking is preferred
• Practical experience in handling CDD review for personal/corporate customers
• Holder of Associate AML Professional (AAMLP) Certificate under the HKMA ECF on AML/CFT is preferred
• Strong analytical mind and interpersonal skills
• Good command of written and spoken English and Chinese (including Putonghua)

For more details about career opportunities with the Bank, please visit our website   Please apply with full resume stating current and expected salaries.

Personal data collected will be used for recruitment related purposes only. Applicants not invited for interview within 6 weeks may consider their applications unsuccessful. However, applicants may be considered for other suitable positions within the Group for a period of not more than 2 years. Personal data will be destroyed at any time after 3 months.

China CITIC Bank International is committed to being an equal opportunities employer and intends to provide a work environment free of unlawful discrimination or harassment.  All employment decisions will be made in a non-discriminatory manner.

Job Responsibilities

• Manage KYC and account opening operations
• Manage the name screening, SOW and PEP checks activities
• Support RMs where needed on administrative tasks

*Job Requirements *

• Degree holder in Business, Economics, Finance or related disciplines
• At least 5-8 years related experience in KYC and/or Due Diligence operations within banking industry
• With high level of attention to details
• Fluent in Cantonese, English and Mandarin
• Good interpersonal skills
• Proficient in Microsoft Office
• Immediately available is highly preferred

Job Responsibilities

• Manage KYC and account opening operations
• Manage the name screening, SOW and PEP checks activities
• Support RMs where needed on administrative tasks

*Job Requirements *

• Degree holder in Business, Economics, Finance or related disciplines
• At least 5-8 years related experience in KYC and/or Due Diligence operations within banking industry
• With high level of attention to details
• Fluent in Cantonese, English and Mandarin
• Good interpersonal skills
• Proficient in Microsoft Office
• Immediately available is highly preferred