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.
Requirements
•
Bachelor’s degree or above.
•
Minimum 5-8 years’ relevant KYC/client onboarding experience, preferably in banking. Candidates will less experience will be identified as Associate.
•
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.
Stay informed on CITIC CLSA Job Opportunities
Not the right fit? You can create a job alert to receive our latest job openings that meet your interest.