Description

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.