About this role
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.
Requirements
• 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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