- 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
- Valuable 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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