Key Areas of Responsibilities
Manage the inflow of request and prioritize KYC Client onboarding and periodic reviews.
Ensure business and client is provided with the KYC, tax, and regulatory requirements for all onboarding and periodic review request.
Ensure key stakeholders are kept informed of the progress and challenges.
Escalate issues where appropriate, and interact with relationship managers and investment counsellors where necessary.
Take on full ownership and coordinate with various teams like Credit, Legal and Compliance, Operations etc.
Follow up on any delays and deficiency on KYC documentation.
Ability to work with onshore and offshore teams, in both Singapore and Hong Kong.
Perform quality checks to ensure that defined guidelines are adhered to.
Work as the process owner and ensure end-to-end management of all related activities.
Ensure adherence to standards, procedures and also identify risks and mitigate where necessary. Full awareness of operational risk management is a must.
Participates in regular operational performance reviews and self-assessment.
Should be commercially minded and ensure that information available with the bank or publicly available are sourced and leveraged.
Continuously updated with regulation changes and wealth management industry knowledge.
Support the preparation of MIS required for management decision making.
All overdue and ageing requests are followed through and issues resolved.
Requirements
Bachelor’s degree or above in Business / Finance / Economics or related discipline
Minimum 4 years of relevant experience in documentation review, account maintenance and related cash products preferred as well as hands-on experience in the AML field, ongoing periodic client review, transactions monitoring in a Private Bank or Wealth Management. Familiar with the MAS 626 requirements or other international AML/CFT standards is a must.
Result-oriented with strong initiative and drive to succeed.
Excellent communication, interpersonal and relationship skills.
Demonstrated project management skills including financial cost management skills.
Advanced execution skills in a multi-tasking mode with good exposure to customer service and handling of system, testing and rollouts.
Ability to achieve business objectives without compromising on controls and risk parameters established.
Proficient in the use of Microsoft Office applications (i.e. Excel, PowerPoint, Word)
Team player, self-motivated and diligent towards attaining goals.
Excellent command of both spoken and written English
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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
