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Analyst, Client Onboarding, Equity Derivatives

Analyst, Client Onboarding, Equity Derivatives

CITIC CLSAHong Kong
10 天前
职位描述

Responsibilities

  • Responsible for the Know Your Customer (KYC) and Customer Due Diligence (CDD) workflow process for end-to-end client account opening.
  • Ensure that the onboarding and review requirements are inpliance with Anti-Money Laundering (AML) Tax evasion and Countering the Financing of Terrorism (CFT) regulations and guidelines.
  • Primary point in liaising with the internal stakeholders such as Sales, Middle Office,pliance, FATCA team and clients on KYC documentation collection.
  • Perform verification checks to ensure that all documents submitted meet the defined Customer Identification Program. Draft and obtain approvals for Politically Exposed Persons / Sanction Exposures / Adverse News and special cases deviating from the CITIC CLSA Group AML and CFT Policy when necessary.
  • Resolve any issues arising from the screening processes in a professional and efficient manner. Timely escalation of exceptions needs to be made to Chief Operating Officer EQD, Regional Head of AML or Group Head ofpliance when necessary.
  • Maintain a current database of all information, documents, financial reports, and news on our accounts forpliance vetting, Legal and Internal Audit.
  • Coordinate with internal stakeholders Legal, Credit and counterparty on ISDA / GMRA / GMSLA / EAM and / or Distribution agreement negotiation including execution paperwork.
  • Coordinate with Prime Services, Middle Office and Credit for post-account setup

Requirements

  • Bachelor’s degree holder in business and finance
  • Excellentmunication skills with goodmand in written and spoken English and Cantonese
  • Working knowledge of account-opening and related processes is required
  • Knowledge of financial markets and derivative instruments, anti-money laundering regulations and SFC requirements around Hong Kong Professional Investors, MAS requirements around Singapore Accredited Investors is desirable; Knowledge in other region’s regulatory requirements is a plus
  • Knowledge of Hedge Fund’s structure and experience in handling HNWI is preferred
  • Familiarity with World Check One orparable name screening system will be an advantage
  • Attentive to details, diligent, independent and able to work under pressure
  • Self-motivated, desire to be challenged and eager to learn

    • Job ID JR001410

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    Analyst • Hong Kong