CITIC CLSA

Asia-focused capital markets and investment group

KYC Officer - Operations

Financial Crime & AMLConfirmed live in the last 24 hours

Full-timeRemote in UKNo salary listedRemote

About the Job

Requirements

A bachelor's degree is required; a degree in Finance, Business Administration, Economics, or a related field is preferred.
At least 3 years of experience in client onboarding, KYC/CDD, account opening, or operations within a financial services environment is required.
Strong understanding of the commercial and regulatory environment, including anti-money laundering and know-your-customer requirements, client due diligence processes, and General Data Protection Regulation-related record management is required.
Proven experience maintaining client databases, conducting client reviews, and reconciling data across systems is required.
Proficiency in Microsoft Office and client management systems is required.
Strong analytical, organizational, and problem-solving skills are required.
Strong interpersonal and communication skills are required.
Exceptional attention to detail is required.

Responsibilities

Collate documents to support account opening.
Screen clients to ensure adherence to regulatory standards.
Input and upload client documentation to the database, including GoldTier and client file creation.
Maintain and update the internal client master list.
Maintain and update client files, including recording and destruction as required under General Data Protection Regulation rules.
Undertake annual client file reviews.
Reconcile local office records with internal system records on an ongoing basis to ensure accuracy.
Create all accounts under the Asian Securities Programme and maintain the resulting records.
Disseminate information through systems as required by the front office, compliance, and audit teams.
Liaise and work with third-party brokers to complete onboarding in frontier markets and maintain the resulting records.
Respond to ad hoc queries generated by the client base.
Create and present information and statistics for monthly client counterparty meetings.
Follow the company's Environmental Management Systems and policies.

Position Description

This position is responsible for providing Client On-boarding/ KYC support to the Sales team. The position holder must have /acquire through training, the knowledge to work within the internal guidelines/requirements and present regulatory environment to create and maintain the CLSA client base.

Key Areas of Responsibilities

Collation of documents to support account opening
Screening of clients to ensure adherence to regulatory standards
Inputting and uploading of client documentation to database (Goldtier and client file creation)
Maintenance and update internal client ‘Master list’.
Maintenance and informational update of client files including the recording and destruction as required under GDPR rules
Undertaking of annual client file reviews.
Ongoing reconciliation between local office records and internal system records to ensure accuracy
Creation of all accounts under our ‘Asian Securities programme’ and resulting records.
Information dissemination by way of Systems as required by Front office, compliance and audit
Liaising and working with third party brokers to ensure the required on boarding in ‘Frontier markets’ and the resultant record requirements
Ad hoc queries as generated by client base.
Creation and presentation of information/ statistics to Monthly Client counterparty meetings
Knowledge of, and adherence to the Company’s Environmental Management Systems and policies

Requirements

Bachelor's degree required, preferably in Finance, Business Administration, Economics, or a related field
Minimum 3 years of experience in client onboarding, KYC/CDD, account opening, or operations within a financial services environment
Strong understanding of the commercial and regulatory environment, including AML/KYC requirements, client due diligence processes, and GDPR-related record management
Proven experience maintaining client databases, conducting client reviews, reconciling data across systems
Strong interpersonal and communication skills
Proficient in Microsoft Office and client management systems, with strong analytical, organisational, and problem-solving skills
Exceptional attention to detail

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.

About the Company

CITIC CLSA

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.

Company size: 1,001-5,000
Company stage: Not listed
Total funding: $834.9M
Headquarters: Central and Western District, Hong Kong
Founded: 1986

Recently Posted Jobs

Explore more opportunities at CITIC CLSA

See more jobs