The IE Client Onboarding team performs KYC due diligence on new IE clients in line with the firm's Global AML/KYC framework, working closely with both external clients and internal stakeholders, including Compliance and KRM.
Key Areas of Responsibilities
- Manage the end-to-end client onboarding process for clients across the APAC region.
- Partner with Front Office, Compliance, AML, Operations, FATCA, and other stakeholders to ensure timely onboarding while meeting business and client expectations.
- Gather, review, and validate constitutional and supporting documentation, coordinating closely with external clients and internal teams. Mandarin language proficiency is an advantage due to need to liaise with Chinese stakeholders.
- Conduct KYC and customer due diligence reviews to assess and monitor client risk profiles, including reputational, regulatory, and operational risks.
- Perform client identification, verification, and screening checks using external databases and screening tools, ensuring compliance with internal AML policies and regulatory requirements.
- Perform independent review of KYC due diligence completed by Makers to ensure accuracy, completeness, and compliance with internal policies and regulatory requirements.
Requirements
- Minimum 4-8 years of relevant experience in KYC and Client Onboarding, preferably within the financial services industry. Candidates with more years of relevant experience (8 to 15 years) will be considered for Associate Director position.
- Basic proficiency in Mandarin (reading, writing, and speaking) would be an added advantage due to need to liaise with Chinese stakeholders.
- Strong understanding of corporate structures and constitutional documents.
- Working knowledge of periodic reviews for equity products.
- Strong attention to detail with a process-driven and risk-aware mindset.
- Excellent research and investigative skills, with the ability to analyze and resolve complex issues.
- Strong time management, organizational, and stakeholder relationship-building skills.
- Proficiency in Microsoft Word and Excel.
- Excellent communication skills (verbal and written) are a must-have.
- Knowledge of AML regulations, particularly in HK SFC and SG MAS requirements.
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Skills Required
- 4-8 years of relevant experience in KYC and client onboarding
- 8-15 years of relevant experience for Associate Director consideration
- Strong understanding of corporate structures and constitutional documents
- Working knowledge of periodic reviews for equity products
- Strong attention to detail and a process-driven, risk-aware mindset
- Excellent research and investigative skills, including complex issue resolution
- Strong time management and organizational skills
- Stakeholder relationship-building skills
- Proficiency in Microsoft Word and Excel
- Excellent verbal and written communication skills
- Knowledge of AML regulations, particularly HK SFC and Singapore MAS requirements
- Basic Mandarin proficiency in reading, writing, and speaking
CLSA Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about CLSA and has not been reviewed or approved by CLSA.
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Pay Growth & Progression — Base pay for junior bankers was increased significantly in 2021 to stay competitive in a hot market. This indicates willingness to adjust compensation when talent risks rise.
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Healthcare Strength — Permanent staff are automatically enrolled in healthcare aligned to local markets, with added travel health and security support via International SOS. This points to solid core medical coverage with global-travel assistance.
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Retirement Support — Permanent staff are automatically enrolled in pension plans aligned to local markets. A group retirement plan is administered regionally, signaling formalized retirement benefits infrastructure.
CLSA Insights
What We Do
CITIC CLSA is a wholly-owned subsidiary of CITIC Securities and its overseas business platform. Established in Hong Kong in 1986, CITIC CLSA is Asia’s leading capital markets and investment group, committed to driving the growth strategies of global institutional investors, corporations, governments and high-net-worth individuals. CITIC CLSA’s award-winning research, extensive Asia network, direct links to China and highly experienced financial professionals set CITIC CLSA apart from global investment banks and regional players. Over three decades, CITIC CLSA has built an extensive Asia network with deep local knowledge and connections. Globally, we operate from 13 countries across Asia, Australia, Europe and the Americas. For further information, please visit clsa.com
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