About this role
Position Description This position is responsible for providing Client On-boarding/ KYC support to the Sales team. The position holder must have /acquire through training, the knowledge to work within the internal guidelines/requirements and present regulatory environment to create and maintain the CLSA client base.
Key Areas of Responsibilities
• Collation of documents to support account opening • Screening of clients to ensure adherence to regulatory standards • Inputting and uploading of client documentation to database (Goldtier and client file creation) • Maintenance and update internal client ‘Master list’. • Maintenance and informational update of client files including the recording and destruction as required under GDPR rules • Undertaking of annual client file reviews. • Ongoing reconciliation between local office records and internal system records to ensure accuracy • Creation of all accounts under our ‘Asian Securities programme’ and resulting records. • Information dissemination by way of Systems as required by Front office, compliance and audit • Liaising and working with third party brokers to ensure the required on boarding in ‘Frontier markets’ and the resultant record requirements • Ad hoc queries as generated by client base. • Creation and presentation of information/ statistics to Monthly Client counterparty meetings • Knowledge of, and adherence to the Company’s Environmental Management Systems and policies
Requirements
• Bachelor's degree required, preferably in Finance, Business Administration, Economics, or a related field • Minimum 3 years of experience in client onboarding, KYC/CDD, account opening, or operations within a financial services environment • Strong understanding of the commercial and regulatory environment, including AML/KYC requirements, client due diligence processes, and GDPR-related record management • Proven experience maintaining client databases, conducting client reviews, reconciling data across systems • Strong interpersonal and communication skills • Proficient in Microsoft Office and client management systems, with strong analytical, organisational, and problem-solving skills • Exceptional attention to detail
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.