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Associate, Client Onboarding, Corporate Finance & Capital Markets
April 29, 2021
This role sits with Corporate Finance and Capital Markets ("CFCM") department and provides support with regards to Client Account Opening and AML checks related to the business.
Key Areas of Responsibilities
Managing the workflow process for client account opening form initial client contact to when the account starts transacting.
Collecting all relevant information, constitutional documents and managing the account opening process for new clients, via liaison with external client, front office/ business, FATCA team, Operations and Compliance teams.
Performing verification checks with external data sources and Screening tools to ensure that all documents submitted meet the defined Customer Identification Program. Drafting and obtaining approvals for Politically Exposed Persons and special cases deviating from the CLSA Group AML and CFT Policy when necessary. Classifying new and/or existing clients from a risk and regulatory perspective.
Resolving any issues arising from the screening processes in a professional and efficient manner. Timely escalation of exceptions needs to be made to necessary parties as needed.
Maintaining a current database of all information, documents, financial reports, and news on our accounts for Compliance vetting, Legal and Internal Audit.
Handling any other ad hoc requests from business and internal stakeholders
At least 5 years of experience in Client Onboarding with top-tier HK-regulated securities firms; experience in handling Corporate Finance/Investment Banking Department clients will be an absolute advantage
Good understanding of constitutional documents and corporate structures
Working knowledge of account-opening and related processes is required
Knowledge of anti-money laundering regulations and HK Professional Investor Policy
Working experience with AML screening tools (namely WorldCheck One)
Excellent communication skills in English and Chinese (verbal and written) are a must-have.
Attention to details, process-oriented
Good prioritization, organisational and multi-tasking skills
Self-motivated, desire to be challenged and eager to learn
If you are seeking a dynamic environment in which to build your career in CLSA, please send your resume to firstname.lastname@example.org. Kindly specify the position title in the email subject for job application.
CLSA may collect personal data from you for purposes relating to your engagement with the Company, including human resource management and other business and internal / external compliance purposes. Any personal information and /or data collected and held by the Company may be used by the Company or transferred (whether within/ outside Hong Kong) to any other parties within the Company, subsidiaries and affiliates of the Company, internal or external service providers, or any other relevant parties including governmental or regulatory authorities, for the above purposes.