CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Our client, a leading Chinese Investment Bank, is looking for an AVP for client onboarding team to strength the function and cope with the expansion.
Ensure timely, accurate Client Due Diligence ('CDD') reviews and risk assessment of new accounts, existing accounts, screening of counterparties, tracking, escalation and resolution of CDD deferrals, account slated for exit
Identify gaps and implement on-boarding controls and systems / process enhancement that are fit for purpose and will address current and future requirements in a rapidly changing regulatory environment and an evolving AML landscape, in line with industry best practices
Assist Head of Operation and MLRO in the discharge of their duties as required from time to time
Manage audit / regulatory inspections and ensure timely closure of audit issues and regulatory findings
Timely escalation of issues (related to on-boarding) to Head of Operation or MLRO
Facilitate the development of company-wide culture of Compliance - promote ownership of front office as first line of defense through training and proactive engagement
Deliver on the internal customer experience while maintaining the highest standards on CDD/KYC
Deliver on the People Agenda - strengthen the bench strength, retain talents, optimize allocation of resources
Handle various client checks including Know-Your-Customer ('KYC'), AML, CRS, World Check and FATCA Check
Ensure all policies, procedures and guidelines are followed
Handle equities placing documents with ECM or sales trading team
Attend KYC / AML related seminar / training and provide training to the team and other relevant parties if necessary
University graduated in Finance, Business Administration or relevant disciplines.
Minimum 10 years experience in client onboarding and KYC from banking industry with at least 5 years in supervisory role.
Well versed in AML & KYC regulatory requirements and practice
Holder of SFC RA Type 1 license is preferable
Excellent analytical, problem solving and decision making skills
Excellent communication and interpersonal skills.
Fluency in written and spoken English and Chinese (both Cantonese and Mandarin).
Candidates with less experience will be considered as AVP level.