Key Areas of Responsibilities

• Process investor’s capital activity, including subscription, redemption, switching, transfer, etc. and review all the relevant supporting documents, including KYC /AML checks and sanction list screening.
• Involvement in client servicing and responding to client and/or investors’ queries.
• Take lead in establishing, review, implement and maintain effective Compliance and Anti-Money Laundering (AML) policies, procedures, systems, and controls in compliance with applicable Compliance and AML regulations and the organization’s KYC/AML standards.
• Act as the bridge between business team and compliance team on AML cases escalation and manage AML/CFT risks. Discuss and document unusual transactions with relevant stakeholders.
• Identify, assess, and implement all relevant new legal and regulatory developments within the AML framework.
• Day-to-day operations for compliance with the relevant policies, procedures, systems, and controls.
• Establish and maintain an appropriate compliance and AML training programme and adequate awareness arrangements for the business team.
• Perform regular sample checking over customer due diligence checks performed on new and on-going clients and investors as per the firm’s requirements.
• Keep pace with developments in AML/CFT laws and regulations, trends, techniques, and update indicators of money laundering or terrorist financing that could impact our business.
• Arrange and process payment settlements accurately and in line with agreed timelines and regulatory requirements.
• Track and monitor token rights, entitlements to ensure proper recordkeeping.
• Coordinate and manage account opening procedures for clients, including document collection and forms review/filling.
• Provide support to other operations’ team as assigned from time to time.
• Undertake ad-hoc projects as assigned.

Requirements

• Bachelor’s degree or equivalent in Business Administration, Law or similar.
• Master’s degree is a plus.
• 3- 5 years of working experience preferably gained in the compliance industry. Previous work experience in Fund Services would be a plus.
• Compliance related accreditations or qualifications preferable. (e.g., CAMS, ICA, CFE, etc.)
• Previous World-Check experience usage is a must.
• Thorough understanding of the local and international AML regulatory environment.
• Proactive, mature, high level of attention to detail, able to work independently under pressure and strong sense of meeting tight committed deadlines.
• Good interpersonal skills.
• Good verbal and written communication skills in Mandarin and English.
• Proficient in Word, Excel, PowerPoint and other presentation applications, including the ability to produce neatly presented work.

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.