KYC Officer, Operations

Licensed sponsor United Kingdom Full-time Posted 1 month ago

Position Description This position is responsible for providing Client On-boarding/ KYC support to the Sales team. The position holder must have /acquire through training, the knowledge to work within the internal guidelines/requirements and present regulatory environment to create and maintain the CLSA client base.

Key Areas of Responsibilities Collation of documents to support account opening Screening of clients to ensure adherence to regulatory standards Inputting and uploading of client documentation to database (Goldtier and client file creation) Maintenance and update internal client ‘Master list’. Maintenance and informational update of client files including the recording and destruction as required under GDPR rules Undertaking of annual client file reviews.

Ongoing reconciliation between local office records and internal system records to ensure accuracy Creation of all accounts under our ‘Asian Securities programme’ and resulting records.

Information dissemination by way of Systems as required by Front office, compliance and audit Liaising and working with third party brokers to ensure the required on boarding in ‘Frontier markets’ and the resultant record requirements Ad hoc queries as generated by client base.

Creation and presentation of information/ statistics to Monthly Client counterparty meetings Knowledge of, and adherence to the Company’s Environmental Management Systems and policies Requirements Bachelor's degree required, preferably in Finance, Business Administration, Economics, or a related field Minimum 3 years of experience in client onboarding, KYC/CDD, account opening, or operations within a financial services environment Strong understanding of the commercial and regulatory environment, including AML/KYC requirements, client due diligence processes, and GDPR-related record management Proven experience maintaining client databases, conducting client reviews, reconciling data across systems Strong interpersonal and communication skills Proficient in Microsoft Office and client management systems, with strong analytical, organisational, and problem-solving skills Exceptional attention to detail 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. CITIC CLSA provides global investors and corporate executives with insights, liquidity and capital to drive their growth strategies.

Award-winning research, an extensive Asia footprint, direct links to China and highly experienced finance professionals differentiate our innovative products and services in asset management, corporate finance, equity and debt capital markets, securities and wealth management.

As part of CITIC Securities (SSE: 600030, SEHK: 6030), China’s leading investment bank, CITIC CLSA is uniquely positioned to facilitate cross-border capital flows and connect China to the world and the world to China. CITIC CLSA operates from 13 countries across Asia, Australia, Europe and the Americas. For further information, please visit http://www.clsa.com.