Client Relationship Officer

Main Duties and Responsibilities

• Risk Management and Compliance:
  • Compliance with laws and regulations, internal risk and compliance policies, and the Group Code of Conduct.
  • Completion of all required risk and compliance training, including e-learning, compliance training, and awareness sessions.
  • Proactive identification of risks and concerns, including escalation to the appropriate stakeholders.
  • Timely mitigation of risks and resolution of issues, including cooperation with relevant stakeholder functions and the establishment of effective controls.
• Introduces the Bank and its banking services to prospective clients.
• Markets and promotes private banking services to clients, including but not limited to: banking services, investment services, and wealth management and insurance services.
• Supports the expected business performance goals set by senior management, including but not limited to planning and trust, etc.
• Performs KYC/AML due diligence on clients in accordance with the Bank's/KRA's general directive during the account opening process and as part of ongoing periodic reviews from time to time.
• Works through the Investment Risk Profile Questionnaire with clients when they open an account and conducts ongoing periodic reviews to ensure that clients' investment products remain suitable and that their risk tolerance and investment experience are appropriate from time to time.
• Works closely with the Risk Management and Compliance Department, the Treasury Department, EFG Asset Management, and the Global Product Unit to perform KYC/CIP/dual reviews on all new account openings.
• Clearly communicate and explain the scope of compliance and internal controls, as well as external regulations, from time to time. Maintain proper records and documentation, especially policies and
• Supports client acknowledgment of the MTM loss if it exceeds 20% of the portfolio or
• Awareness of newly launched products, monitoring, setting up accounts, and handling any excesses, if applicable.
• Works closely with the entire client advisory team to increase the number of accounts, improve client account and collateral efficiency, and enable proper segmentation of services. If there are any documents, trade transactions, call reports, etc.,

Qualifications & Requirements

• Licenses: Type 1 and Type 4
• Certificate - CPHP
• University degree or equivalent
• Professional qualifications such as the Enhanced Competency Framework (ECF) would be an advantage.
• This employment is subject to the Mandatory Reference Checking Scheme (MRCS) in accordance with regulatory requirements. For details, please refer to the Hong Kong Monetary Authority's Mandatory Reference Checking Scheme.