Business Risk & Controls Associate
Wells Fargo
Hong Kong, Central and Western District

Job Description

This position is functionally managed by the APAC KYC Manager (Front Line)

Primary function of the role is obtaining, verifying, and properly recording customer due diligence information and documentation for on-boarding.

The individual will also assist with ongoing reviews and KYC projects as required. For KYC technical matters requiring escalation, the APAC KYC Manager is the first point of reference

Note : In addition to these functions, team members are required to carry out such other duties as may reasonably be required)


  • Conduct full KYC / AML verification checks on all new clients in accordance with relevant APAC laws, rules and regulations, and firm policies as appropriate.
  • Investigate ownership and control of the client to identify all ultimate beneficiaries and possible PEPs for KYC and risk management purposes.
  • Provide advice to the business in order for them to obtain information and documentation required to ensure compliance with relevant Anti-Money Laundering laws, rules and regulations.
  • Investigation of the client’s background utilizing all available internal / external systems, to develop a full picture of who the client is and whether any high risk factors are revealed.
  • Liaise and co-ordinate with various other departments as necessary regarding client on-boarding.
  • Ensure that all relevant KYC / AML information is adequately recorded, especially information relating to source of funds / source of wealth and expected account activity, for risk management purposes.
  • Liaise with the business or operations where necessary in order to provide the client with a clear understanding of firm and regulatory requirements.
  • Assist where necessary in the ongoing client review program performing appropriate KYC / AML reviews on the existing APAC client base.
  • Assist with the ongoing maintenance of client information and documentation.
  • Assist with updating procedures and trackers related to Customer due diligence BSA / AML program
  • Assist with ad-hoc projects, as required.

    Market Skills and Certifications

  • Solid AML compliance experience, with a good understanding of AML laws, rules and regulations in APAC, including all aspects of CIP / CDD / EDD;
  • some knowledge of the global AML regulatory environment would be a plus.

  • 2-4 years' relevant working experience in AML / KYC / CDD position / s
  • Excellent interpersonal and communication skills and experience dealing with front office staff on a daily basis.
  • The ability to work unsupervised, and willingness to work to deadlines to get the job done when required.
  • Strong organizational skills, attention to detail, and adherence to strict deadlines in a fast faced and high pressure environment
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