- Performing screening reviews and KYC documentation checks, mainly for Asia-based clients.
- Collecting relevant information and constitutional documents for clients.
- Liaising with front office/internal stakeholders such as Front Office, FATCA team, Compliance, AML and clients regarding KYC documentation.
- Performing verification checks with external data sources and Screening tools to comply with Customer Identification Program.
- Drafting and approving for Politically Exposed Persons and special cases deviating from CLSA Group AML/CFT Policy.
- Classifying new/existing clients from risk and regulatory perspectives.
- Interacting with existing clients to handle tasks arising from periodic reviews.
- Resolving issues during screening processes and escalating exceptions to Regional/Group Head of Compliance when needed.
- Maintaining a current database of all information, documents, and financial reports linked to Compliance, Legal, and Internal Audit.
- Promoting ideas for process improvements and assisting in their implementation.
- Good understanding of constitutional documents and corporate structures.
- Attention to detail and process orientation.
- Investigative skills to identify and resolve issues.
- Strong prioritization, organizational, and multi-tasking abilities.
- Self-motivated, eager to learn, and open to challenges.
- Bachelor’s degree or above.
- Excellent verbal and written communication skills.
- Knowledge of account-opening processes.
- Knowledge of markets and instruments, plus front-to-back investment banking processes.
- Knowledge of anti-money laundering regulations.
- Proficiency in Microsoft Word and Excel.
- Relevant experience in investment banking AML/KYC processes.
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Skills Required
- Bachelor's degree or above
- Knowledge of anti-money laundering regulations
- Relevant experience in investment banking AML/KYC processes
- Good understanding of constitutional documents and corporate structures
- Attention to detail and process orientation
- Investigative skills to identify and resolve issues
- Knowledge of account-opening processes
- Knowledge of markets and instruments
- Strong prioritization and organizational abilities
- Self-motivated and eager to learn
- Excellent verbal and written communication skills
- Proficiency in Microsoft Word and Excel
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
