Client Operations Associate - Controls

Join the team where you will be partnering with KYC teams on maintaining controls effectiveness, performing gap analysis for regulatory papers and drafting exams and audit queries to ensure all client KYC records comply with regulatory standards and ensure the high quality and timely completion of all client-level due diligence requirements.

As a Controls associate within our team, you will be an integral part of the global Operations team, supporting all aspects of controls and risk focused agenda, including the fulfillment of Anti-Money Laundering (AML) and Know Your Client (KYC) requirements. You are expected to support all the Regulatory deliverables while ensuring compliance and operational effectiveness for Client Ops acting as a line of defense safeguarding against any compliance or regulatory impact.. Additionally, you are expected to stay current with all regulatory changes and requirements related to client KYC, suitability, and documentation.

Job Responsibilities:

• Ensure process outputs are of high quality, in line with internal quality standards, and escalate any issues to the Global team.


• As a KYC expert, perform holistic in-depth analysis and cross functional consensus building to ensure compliance and strategic alignment.


• Provide advice and guidance to team members to foster an environment of continuous improvement


• Serve as an escalation point for issues and interface with key stakeholders


• Develop and produce critical metrics and reports related to department performance, risk quantification, stratification, and resource capacity limitations.


• Train and develop talent, provide SME/technical support, and identify knowledge gaps to conduct training sessions for high-quality output


• Act as a role model in driving high-quality outputs


• Coordinate the effective completion of each assigned case from initiation to completion, following up with team members for sub-activities across the end-to-end renewal process


• Communicate clearly and transparently, articulating AML/regulatory requirements


• Drive effective issue resolution within policy boundaries, ensuring cases are completed in line with defined service level agreements

Required qualifications, capabilities and skills:

• Bachelors degree with atleast 4 years of experience


• Develop a strong understanding of KYC, AML, and regulatory requirements (e.g., HKMA and MAS).


• Gain strong knowledge of the private banking industry.


• Exhibit strong interpersonal, analytical, problem-solving, negotiating, influencing, facilitation, organizational, prioritization, decision-making, and conflict resolution skills.


• Communicate excellently, with fluency in English and Chinese (written and verbal) as appropriate.


• Demonstrated experience in Audit and Risk Management, with the ability to identify, assess, and mitigate risks throughout the client onboarding process


• Experience in conducting internal audits, reviewing processes for compliance, and implementing risk management best practices within financial services or banking operations