KYC Client Lifecycle

Key Responsibilities

• Supporting Hong Kong KYC management information (MI) and regulatory reporting requests from Business, AFC, Legal, Compliance, Regional Control teams, and regional counterparts.
• Acting as a control function for client account management activities, covering both local staff and offshore teams.
• Managing and driving strong performance in regulatory recertification and remediation exercises to ensure adherence to regulatory requirements.
• Advising on, drafting, updating, and overseeing process flows and implementations in response to Embedded Risk, Internal Audit, or External Audit findings.
• Handling escalations and liaising with key stakeholders on manual/offline KYC files, temporary KYC waivers, alerts, and ageing onboarding cases.
• Mitigating risk through timely and accurate escalation, proactive issue monitoring, root cause identification, and proposing effective solutions.
• Promoting and implementing best practices to improve efficiency and reduce risk.
• Tracking and following up on exceptional or conditional approvals, audit findings, and regulatory items until resolution.
• Implementing process enhancements, particularly those arising from regulatory changes.
• Supporting data clean-up initiatives, remediation efforts, and re‑engineering projects.
• Assisting with the rollout of new products, regulatory updates, and policy changes by formalizing process flows, updating KOPs, and conducting training.
• Ensuring compliance with Business Continuity Management requirements.
• Keeping key operating procedures and desktop guides updated and communicating changes promptly.
• Fostering a client‑centric culture with strong discipline and robust controls.
• Contributing to data clean‑up, remediation, and process re‑engineering activities.