Associate, Client Onboarding, Equity Derivatives

CLSA; Hong Kong; On-site; HKD 420,000 - 700,000; Full time

Job summary

CLSA is seeking a qualified KYC/AML professional to support client onboarding in Equity Derivatives. The role focuses on end-to-end KYC workflow, document verification, and adherence to AML/CFT guidelines.

You will coordinate with Sales, Compliance, Legal, and other internal teams to ensure timely approvals and accurate data. Strong English and Cantonese communication skills are essential for success in this Hong Kong-based position.

Qualifications

• 4+ years of account-opening and related processes experience.
• Knowledge of financial markets and derivative instruments and AML regulations.
• Familiarity with Hong Kong SFC requirements around Professional Investors is desirable.

Responsibilities

• Responsible for the KYC workflow for end-to-end client account opening.
• Ensure onboarding and review comply with AML/CFT regulations.
• Liaise with Sales, Middle Office, Compliance, FATCA team and clients on KYC docs.
• Perform verification checks against the Customer Identification Program and approve special cases.
• Escalate exceptions to COO EQD, Regional Head of AML or Group Head of Compliance when needed.
• Maintain a current database of client information for vetting and audits.
• Coordinate with Legal, Credit and counterparties on ISDA/GMRA/GMSLA negotiations and execution paperwork.

Skills

English proficiency

Cantonese proficiency

Attention to detail

Pressure handling

Education

Bachelor degree in Business or Finance

Tools

World-Check One

Job description

Position Description

This role sits with Equity Derivatives Department (EQD) and provides support with regards to Client Account Opening and AML/KYC checks related to the business.

Key Areas of Responsibilities

• Responsible for the Know Your Customer (KYC) workflow process for end-to-end client account opening.
• Ensure that the onboarding and review requirements are in compliance 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, Compliance, 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 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 of Compliance when necessary.
• Maintain a current database of all information, documents, financial reports, and news on our accounts for Compliance vetting, Legal and Internal Audit.
• Coordinate with internal stakeholders i.e. Legal, Credit and counterparty on ISDA/GMRA/GMSLA agreement negotiation including execution paperwork.

Requirements

• Degree holder in business, finance or relevant academic background
• Excellent communication skills with good command in written and spoken English and Cantonese
• 4+ years of account-opening and related processes experience is required
• Knowledge of financial markets and derivative instruments, anti-money laundering regulations and SFC requirements around Hong Kong Professional Investors is desirable
• Familiarity with World Check One or comparable 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