Key Areas of Responsibilities

• 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.

Requirements

• 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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