About this role
Key Areas of Responsibilities
• Responsible for the Know Your Customer (KYC) and Customer Due Diligence (CDD) processes, including end-to-end new account opening and periodic reviews of existing clients. • Ensure that all onboarding and review activities comply with Anti-Money Laundering (AML), Tax Evasion, and Countering the Financing of Terrorism (CFT) regulations and guidelines. • Conduct thorough sanity checks and collaborate with the Key Responsible Manager (KRM) to validate the customer’s information. • Conduct name screening and ensure all adverse news has been cleared, documented, and escalated appropriately. • Effective communication with Compliance, Legal, Key Responsible Manager (KRM), Product Development Team, and other relevant stakeholders regarding documentation requirements, ensuring adherence to regulatory standards and procedures. • Maintain accurate and complete records of the KYC information and documentation in the relevant systems in a timely manner. • Ensure to deliver high quality service to internal clients in a professional and efficient manner.
Requirements
• Bachelor's degree in business, finance, or equivalent education • At least 3 years of experience in KYC/CDD review in banking and finance industry • Attentive to details, diligent, independent and able to work under pressure • Self-motivated and work as a team player with good communication skills • Good command in written and spoken English and Cantonese • Business level Putonghua as a minimum
Stay informed on CITIC CLSA Job Opportunities Not the right fit? You can create a job alert to receive our latest job openings that meet your interest.