The main responsibilities include periodic review and other KYC-related tasks; client onboarding is not part of the scope.
lead the local team and coordinate with the Head of KYC Operations.
Identify, recommend, and assist in implementing process and technology improvements.
Act as SME to guide clients through the KYC Requirements and document variations.
Risk and regulatory classification of existing clients.
Interact with clients for periodic reviews and resolve issues from screening processes, escalating exceptions to AML or Compliance as appropriate.
Conduct in-depth analysis on client ownership structures via public sources or provided documents and support the team with additional confirmation or approvals if needed.
Verify submitted documents with external data sources and screening tools per Customer Identification Program.
Stay updated on process/regulatory changes and ensure open communication across regions.
Respond to internal audit queries on KYC processes and client files.
Other KYC-related tasks may be assigned from time to time.
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Bachelor’s degree or above.
Minimum 5 years’ relevant KYC/client onboarding experience, preferably in banking.
Experience with various client types (Institutions, Corporates, SPVs, Trusts, Funds, FIs).
Strong understanding of constitutional documents and corporate structures.
Excellent verbal and written communication.
Mandarin proficiency is advantageous for reviewing Chinese documents.
Knowledge of HK SFC AMLO and MAS KYC requirements necessary.
Industry knowledge, including products, markets, and front-to-back processes, a plus.
Attention to detail, process orientation, time management, organizational and relationship-building skills, and strong investigative ability.
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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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