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23 CLSA Jobs

Associate, KYC Operations, Setclear

2-6 years

Pune

1 vacancy

Associate, KYC Operations, Setclear

CLSA

posted 13d ago

Job Description

Key Areas of Responsibilities

  • Performing timely Periodic Reviews for the international accounts that are managed out from HK/SG/AU region
  • Coordinate client / counterparty across multiple functions / units - Front Office, Compliance, AML, Operations, FATCA under business/ client urgency
  • Collecting all relevant constitutional documents. This will include liaising with external client and Internal teams. Chinese language proficiency is a strongly recommended skillset.
  • Strong understanding of KYC requirements and undertake client due diligence on existing clients to ensure identification of changes in risk profile, including reputational and operational risk factors
  • Performing verification checks with external data sources and Screening tools to ensure that all documents submitted meet the defined Customer Identification Program and Internal AML policies
  • Interacting with existing client accounts to handle any tasks arising from periodic reviews.
  • Participate in testing of enhancements to client due diligence databases, systems.
  • Resolving any issues arising from the screening processes in a professional and efficient manner. Timely escalation of exceptions needs to be made to the Regional Head of AML or Group Head of Compliance when necessary
  • Maintaining a current database of all information, documents, financial reports, and news on our accounts for Compliance vetting, Legal and Internal Audit
  • Identify and execute process improvements, provide guidance and support on key process and technology initiatives to the business. Promote ideas for process improvement and assist in their implementation.

Requirements

  • Minimum 4 years of relevant experience in KYC/Client Onboarding functions and preferably within the banking industry.
  • Value add skill in Mandarin language proficiency in basic reading, writing and speaking
  • Good understanding of constitutional documents and corporate structures is required
  • Working knowledge of periodic review for equity and FI products is required
  • Knowledge of HK SFC / SG MAS AML regulations will be an advantage
  • Attention to detail and process oriented
  • Research/ Investigative skills
  • Proficient in Word and Excel
  • Strong attention to details, process oriented, time management, organizational, relationship building skills plus keen investigative skills

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Employment Type: Full Time, Permanent

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What people at CLSA are saying

What CLSA employees are saying about work life

based on 78 employees
70%
84%
82%
100%
Strict timing
Monday to Friday
No travel
Day Shift
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CLSA Benefits

Cafeteria
Health Insurance
Work From Home
Free Transport
Team Outings
Soft Skill Training +6 more
View more benefits

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