Associate, Transfer Agency, Fund Services

CITIC Securities International Company Limited; Hong Kong; On-site; HKD 500,000 - 800,000; Full time

Job summary

CITIC Securities International Company Limited is seeking a Compliance & AML professional in Hong Kong to oversee capital activity processing and KYC/AML screening. You will work with business and compliance teams to implement robust AML controls and respond to investor queries.

The role requires 3–5 years in compliance, familiarity with World-Check, and strong English/Mandarin communication. A relevant accreditation is preferred, with opportunities to lead AML policy development.

Qualifications

• Bachelor’s degree or equivalent in Business Administration, Law or similar.
• Master’s degree is a plus.
• 3-5 years of working experience in compliance.
• Compliance accreditations (CAMS, ICA, CFE) are preferable.
• World-Check experience is a must.
• Strong knowledge of AML regulatory environment.
• Excellent verbal and written communication in Mandarin and English.
• Good interpersonal skills.

Responsibilities

• Process investor’s capital activity including subscription, redemption, switching, transfer, etc., and review supporting documents including KYC/AML checks.
• Involvement in client servicing and responding to client/investor queries.
• Lead in establishing, reviewing, implementing and maintaining AML policies, procedures, systems and controls.
• Bridge between business and compliance on AML case escalation and manage AML/CFT risks.
• Identify and implement new legal/regulatory developments within AML framework.
• Day-to-day compliance with policies, procedures, systems, and controls.
• Establish and maintain AML training program for the business team.
• Perform regular checks on customer due diligence for new and ongoing clients/investors.
• Keep pace with AML/CFT developments and update indicators of money laundering.
• Arrange and process payment settlements in line with timelines and regulations.
• Track and monitor token rights and entitlements for recordkeeping.
• Coordinate account opening procedures including document collection/review.
• Provide support to other operations teams as assigned.
• Undertake ad-hoc projects as assigned.

Skills

Experience in compliance

Strong communication (Mandarin &英语

Attention to detail

Interpersonal skills

MS Word/Excel/PowerPoint

Education

Bachelor’s degree or equivalent in Business Administration, Law or similar

Master’s degree is a plus

CAMS

ICA

CFE

World-Check experience

Tools

MS Office (Word, Excel, PowerPoint)

Job description

• Undertake ad-hoc projects as assigned
• Master’s degree is a plus
• Previous work exp in Fund Services would be a plus

Key Areas of Responsibilities

Process investor’s capital activity, including subscription, redemption, switching, transfer, etc. and review all the relevant supporting documents, including KYC /AML checks and sanction list screening.

Involvement in client servicing and responding to client and/or investors’ queries.

Take lead in establishing, review, implement and maintain effective Compliance and Anti-Money Laundering (AML) policies, procedures, systems, and controls in compliance with applicable Compliance and AML regulations and the organization’s KYC/AML standards.

Act as the bridge between business team and compliance team on AML cases escalation and manage AML/CFT risks. Discuss and document unusual transactions with relevant stakeholders.

Identify, assess, and implement all relevant new legal and regulatory developments within the AML framework.

Day-to-day operations for compliance with the relevant policies, procedures, systems, and controls.

Establish and maintain an appropriate compliance and AML training programme and adequate awareness arrangements for the business team.

Perform regular sample checking over customer due diligence checks performed on new and on-going clients and investors as per the firm’s requirements.

Keep pace with developments in AML/CFT laws and regulations, trends, techniques, and update indicators of money laundering or terrorist financing that could impact our business.

Arrange and process payment settlements accurately and in line with agreed timelines and regulatory requirements.

Track and monitor token rights, entitlements to ensure proper recordkeeping.

Coordinate and manage account opening procedures for clients, including document collection and forms review/filling.

Provide support to other operations’ team as assigned from time to time.

Undertake ad-hoc projects as assigned.

Requirements

Bachelor’s degree or equivalent in Business Administration, Law or similar.

Master’s degree is a plus.

3- 5 years of working experience preferably gained in the compliance industry. Previous work experience in Fund Services would be a plus.

Compliance related accreditations or qualifications preferable. (e.g., CAMS, ICA, CFE, etc.)

Previous World-Check experience usage is a must.

Thorough understanding of the local and international AML regulatory environment.

Proactive, mature, high level of attention to detail, able to work independently under pressure and strong sense of meeting tight committed deadlines.

Good interpersonal skills.

Good verbal and written communication skills in Mandarin and English.

Proficient in Word, Excel, PowerPoint and other presentation applications, including the ability to produce neatly presented work.