Position Description
This role sits within the Corporate Finance and Capital Markets (“CFCM”) department and provides support with regards to Client Account Opening and AML/KYC checks related to the business.
Key Areas of Responsibilities- Managing the workflow process for project-related KYC/AML checks and client trading account openings.
- Collecting all relevant information, constitutional documents, and managing the account opening process for new clients via liaison with external clients, front office/business, FATCA team, Operations, and Compliance teams.
- Performing verification checks with external data sources and screening tools to ensure that all submitted documents meet the defined Customer Identification Program.
- Drafting and obtaining approvals for Politically Exposed Persons and special cases deviating from the CLSA Group AML and CFT Policy when necessary.
- Classifying new and/or existing clients from a risk and regulatory perspective.
- Resolving any issues arising from screening processes in a professional and efficient manner, with timely escalation of exceptions to the necessary parties as required.
- Maintaining a current database of all information, documents, financial reports, and news on accounts for Compliance vetting, Legal, and Internal Audit.
- Handling any other ad-hoc requests from the business and internal stakeholders.
- Bachelor’s degree or above in Finance or related discipline.
- Experience in handling Corporate Finance/Investment Banking Department clients in top-tier HK-regulated securities firms will be an absolute advantage.
- Good understanding of constitutional documents and corporate structures will be an advantage.
- Working knowledge of account-opening and related processes will be an advantage.
- Knowledge of anti-money laundering regulations and HK Professional Investor Policy will be an advantage.
- Working experience with AML screening tools (namely WorldCheck One) will be an advantage.
- Excellent communication skills in English and Chinese (verbal and written).
- Attention to detail, process-oriented.
- Good prioritization, organizational, and multi-tasking skills.
- Self-motivated, with a desire to be challenged and eager to learn.
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CITIC CLSA provides global investors and corporate executives with insights, liquidity and capital to drive their growth strategies.
Award-winning research, an extensive Asia footprint, direct links to China and highly experienced finance professionals differentiate our innovative products and services in asset management, corporate finance, equity and debt capital markets, securities and wealth management.
As part of CITIC Securities (SSE: 600030, SEHK: 6030), China’s leading investment bank, CITIC CLSA is uniquely positioned to facilitate cross-border capital flows and connect China to the world and the world to China.
CITIC CLSA operates from 13 countries across Asia, Australia, Europe and the Americas. For further information, please visit www.clsa.com.
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