Key Areas of Responsibilities

• Lead and oversee the processing of investors’ capital activities, including subscription, redemption, switching, transfer, etc., ensuring accuracy, completeness, and timely execution; review and approve all relevant supporting documents, including KYC / AML checks and sanction list screening performed by the team.
• Manage and mentor the transfer agency team, setting clear deliverables, monitoring performance, and ensuring compliance with service and quality standards.
• Oversee client servicing activities, ensuring effective and timely responses to client and/or investor queries, and fostering strong relationship management.
• Identify, assess, and oversee implementation of all relevant new legal and regulatory developments within the AML framework, ensuring the business is aligned and compliant.
• Act as the bridge between business team and compliance team on AML cases escalation and manage AML/CFT risks. Discuss and document unusual transactions with relevant stakeholders.
• Identify, assess, and implement all relevant new legal and regulatory developments within the AML framework.
• Design, deliver, and maintain an appropriate compliance and AML training programme, and promote awareness for the business team.
• Ensure day-to-day operations are compliant with the relevant policies, procedures, systems, and controls, taking corrective action and guiding the team as necessary.
• Allocate resources effectively, prioritize tasks, and ensure timely completion of team deliverables in accordance with business priorities.
• Provide leadership support to other operations teams as assigned, ensuring cross-functional collaboration and efficiency.

Requirements

• Bachelor’s degree or equivalent in Business Administration, Law or a related discipline.
• 6 - 9 years of working experience, preferably gained in the compliance industry. Fund Services experience would be a plus.
• Compliance-related accreditations or qualifications are preferable (e.g., CAMS, ICA, CFE, etc.)
• Previous experience using World-Check is a must.
• Thorough understanding of the local and international AML regulatory environment.
• Proactive, mature, with a high level of attention to detail, able to work independently under pressure and strong sense of meeting tight, committed deadlines.
• Good interpersonal skills.
• Good verbal and written communication skills in Mandarin and English.
• Proficient in Word, Excel, PowerPoint and other presentation applications, including the ability to produce neatly presented work.
• Candidate with less experience will be considered as Associate level.

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.