Associate Director
CITIC CLSA
Associate Director
CITIC CLSA
Asia-focused capital markets and investment group
The main responsibilities include periodic review and other KYC-related tasks; client onboarding is not part of the scope.
Lead the local team and coordinate with the Head of KYC Operations.
Identify, recommend, and assist in implementing process and technology improvements.
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.
Bachelor’s degree or above.
Minimum 5-8 years’ relevant KYC/client onboarding experience, preferably in banking. Candidates will less experience will be identified as Associate.
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.
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Asia-focused capital markets and investment group
CITIC CLSA provides capital markets and investment services in Asia and beyond, supporting global institutional investors, corporations, governments, and high-net-worth individuals. The company uses its award-winning research, extensive Asia network, and direct links to China to help clients access and invest in Asian markets. Its team operates across 13 countries in Asia, Australia, Europe, and the Americas, combining local knowledge with international reach. This mix helps clients execute deals, conduct in-depth market analysis, and grow their investment portfolios through China and Asia-focused opportunities. What sets CITIC CLSA apart is its deep regional network and China connections, which contrast with broader global banks and smaller regional firms. The goal is to enable clients to grow by leveraging Asia’s markets and China’s opportunities through expert advisory, research, and execution across the globe.
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