Associate, KYC & Onboarding, Asset Management

Key Areas of Responsibilities

• Responsible for the Know Your Customer (KYC) and Customer Due Diligence (CDD) process including end-to-end new account opening and periodic review on existing clients. Ensure that the onboarding and review requirements are in compliance with Anti-Money Laundering (AML) Tax evasion and Countering the Financing of Terrorism (CFT) regulations and guidelines.

• Perform analysis of the gathered data on the source of fund and source of wealth, conduct a thorough sanity check 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.

• Resolve any issues arising from the screening processes in a professional and efficient manner.

• Maintain a current database of all information, documents, financial reports, and news on our accounts for Compliance vetting, Legal and Internal Audit

• 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.