Associate, KYC Operations, Operations

Key Areas of Responsibilities

- The main responsibilities include periodic review and other KYC-related tasks; client onboarding is not part of the scope.

- Act as SME to guide clients through the KYC Requirements and document variations.

- Risk and regulatory classification of existing clients.

- Interact with clients for periodic reviews and resolve issues from screening processes, escalating exceptions to AML or Compliance as appropriate.

- Conduct in-depth analysis on client ownership structures via public sources or provided documents, and support the team with additional confirmation or approvals if needed.

- Verify submitted documents with external data sources and screening tools per Customer Identification Program.

- Stay updated on process/regulatory changes and ensure open communication across regions.

- Respond to internal audit queries on KYC processes and client files.

- Other KYC-related tasks may be assigned from time to time.
Requirements

- Bachelor’s degree or above.

- At least 4 years relevant experience in KYC/client onboarding, preferably in banking.

- Experience with various client types (Institutions, Corporates, SPVs, Trusts, Funds, FIs).

- Strong understanding of constitutional documents and corporate structures.

- Excellent verbal and written communication.

- Mandarin proficiency is advantageous for reviewing Chinese documents.

- Knowledge of HK SFC AMLO and MAS KYC requirements necessary.

- Industry knowledge, including products, markets, and front-to-back processes, a plus.

- Attention to detail, process orientation, time management, organizational and relationship-building skills, and strong investigative ability.

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.