Client Relationship Officer

Main Duties & Responsibilities

• Risk Management and Compliance:
  • Adherence to laws and regulations, internal risk and compliance policies and the Group Code of Conduct.
  • Completion of all mandatory risk and compliance training including e-learning, compliance training and awareness sessions.
  • Proactive identification of risks and concerns, including escalation to relevant stakeholders.
  • Timely mitigation of risks and resolution of issues including cooperating with relevant stakeholder functions and 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, wealth / insurance services.
• Supports the expected goal of business performance set forth by senior management including but not limited to planning and trust, etc.
• Performs KYC / AML due diligence on Clients in compliance with the Bank's/KRA's general directive during the course of account opening process and ongoing periodic review from time to time.
• Goes through the Investment Risk Profile Questionnaire with clients at time of account opening as well as performs ongoing periodic review to ensure clients' investment product suitability, risk tolerance and investment experience from time to time.
• Works closely on the Risk Management, Compliance Department, Treasury Department, EFG Asset Management, Global Product Unit to perform KYC/CIP/Dual Review on all new account openings.
• Clearly communicate and explain the scope of the compliance and internal controls as well as external regulations from time to time. Maintain proper records and documentation, especially policies and
• Supports client acknowledgement the MTM loss if over 20% of portfolio or
• Awareness of new launch products, monitoring, setting up account / organization of excesses, if any.
• Works closely with all client advisory team to increase number of accounts, client account, collateral efficiency and allow proper segmentation of services. If any documents, trade transactions and call reports, etc.

Qualifications & Requirements

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