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.
The Legal Entities Group is a global group with offices in New York, London, Tokyo, Budapest, Bangalore and Hong Kong. The group operates within the Data Operations of Shared Services Banking Operations ("SSBO") and partners closely with the Legal and Compliance Division, Risk Management and Client Reference Data ("CRD") to assist the Firm's Sales and Trading and Wealth Management to comply with regulatory obligations that involve data and documentation requirements.
The group has three primary areas of focus:
Analysis and storage of client documentation on all new clients to ensure that the firm complies with Global Client Identification and Know Your Customer regulations
An ongoing refresh of client data and documentation for existing clients
Legal entity creation & maintenance
The person for this position will perform a combination of the above listed functions to support Institutional Securities business in the Asia Pacific region.
The duties of the role will include a combination of the following:
Perform KYC and CDD check on new client
Update firm systems and databases with information / documentation obtained from the client
Handle inquiries and ad hoc requests from internal clients including Compliance where required
Perform remediation work where needed
Handle volumes when business spikes i.e. IPO within the given time and prioritize the work including ad-hoc requests and projects to meet business demands in a timely manner
Deal with the environment changes e.g. regulation change, new business and/or technology projects.
EXPERIENCE AND SKILLS REQUIRED:
Strong research/investigative skills
Strong attention to detail
Ability to interact effectively with Business Units, Compliance, global colleagues and build good working relationships
Ability to work independently and meet the business deadlines with accuracy, handle trouble shooting to mitigate risks associated with the business that we manage
Multi-tasking to handle various business demands
Must have strong written and verbal English and Chinese skills
Ability to manage pressure and stressful business demands
Minimum of 1 year of experience in client onboarding or periodic review
Other Asian language skill is a plus, but not required
Familiarity with CDD and KYC regulatory requirement is a plus