KYC Officer, Operations

Job description

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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