About the role
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
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Originally posted on Himalayas