Client Onboarding Analyst

7 days ago

Hong Kong, Hong Kong SAR China CITIC CLSA Full time

Position Description This role sits with Equity Derivatives Department (EQD) and provides support with regards to Client Account Opening and AML/KYC checks related to the business. Key Areas of Responsibilities Responsible for the Know Your Customer (KYC) and Customer Due Diligence (CDD) workflow process for end-to-end client account opening. 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. Primary point in liaising with the internal stakeholders such as Sales, Middle Office, Compliance, FATCA team and clients on KYC documentation collection. Perform verification checks to ensure that all documents submitted meet the defined Customer Identification Program. Draft and obtain approvals for Politically Exposed Persons/Sanction Exposures/Adverse News and special cases deviating from the CITIC CLSA Group AML and CFT Policy when necessary. Resolve any issues arising from the screening processes in a professional and efficient manner. Timely escalation of exceptions needs to be made to Chief Operating Officer EQD, Regional Head of AML or Group Head of Compliance when necessary. Maintain a current database of all information, documents, financial reports, and news on our accounts for Compliance vetting, Legal and Internal Audit. Coordinate with internal stakeholders i.e. Legal, Credit and counterparty on ISDA/GMRA/GMSLA/EAM and/or Distribution agreement negotiation including execution paperwork. Coordinate with Prime Services, Middle Office and Credit for post-account setup. Requirements Bachelor’s degree holder in business and finance At least 1- 2 years of relevant working experience Excellent communication skills with good command in written and spoken English and Cantonese Working knowledge of account-opening and related processes is required Knowledge of financial markets and derivative instruments, anti-money laundering regulations and SFC requirements around Hong Kong Professional Investors, MAS requirements around Singapore Accredited Investors is desirable; Knowledge in other region’s regulatory requirements is a plus Knowledge of Hedge Fund’s structure and experience in handling HNWI is preferred Familiarity with World Check One or comparable name screening system will be an advantage Attentive to details, diligent, independent and able to work under pressure Self-motivated, desire to be challenged and eager to learn

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