Position Description
This position is responsible for providing Client On-boarding/ KYC support to the Sales team. The position holder must have /acquire through training, the knowledge to work within the internal guidelines/requirements and present regulatory environment to create and maintain the CLSA client base.
Key Areas of Responsibilities
- Collation of documents to support account opening
- Screening of clients to ensure adherence to regulatory standards
- Inputting and uploading of client documentation to database (Goldtier and client file creation)
- Maintenance and update internal client ‘Master list’.
- Maintenance and informational update of client files including the recording and destruction as required under GDPR rules
- Undertaking of annual client file reviews.
- Ongoing reconciliation between local office records and internal system records to ensure accuracy
- Creation of all accounts under our ‘Asian Securities programme’ and resulting records.
- Information dissemination by way of Systems as required by Front office, compliance and audit
- Liaising and working with third party brokers to ensure the required on boarding in ‘Frontier markets’ and the resultant record requirements
- Ad hoc queries as generated by client base.
- Creation and presentation of information/ statistics to Monthly Client counterparty meetings
- Knowledge of, and adherence to the Company’s Environmental Management Systems and policies
Requirements
- Bachelor's degree required, preferably in Finance, Business Administration, Economics, or a related field
- Minimum 3 years of experience in client onboarding, KYC/CDD, account opening, or operations within a financial services environment
- Strong understanding of the commercial and regulatory environment, including AML/KYC requirements, client due diligence processes, and GDPR-related record management
- Proven experience maintaining client databases, conducting client reviews, reconciling data across systems
- Strong interpersonal and communication skills
- Proficient in Microsoft Office and client management systems, with strong analytical, organisational, and problem-solving skills
- Exceptional attention to detail
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Skills Required
- Bachelor's degree in Finance, Business Administration, Economics, or a related field
- At least 3 years of experience in client onboarding, KYC/CDD, account opening, or financial services operations
- Strong understanding of AML/KYC requirements and client due diligence processes
- Knowledge of GDPR-related record management
- Experience maintaining client databases and conducting client reviews
- Experience reconciling data across systems
- Strong interpersonal and communication skills
- Proficiency in Microsoft Office and client management systems
- Strong analytical, organizational, and problem-solving skills
- Exceptional attention to detail
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
