Analyst, Client Onboarding, Equity Derivatives

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) and Customer Due Diligence (CDD) 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/Sanction Exposures/Adverse News 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/EAM

and/or Distribution agreement negotiation including execution paperwork.

• Coordinate with Prime Services, Middle Office and Credit for post-account setup

Requirements

• Bachelor's degree holder in business and finance

• At least 1- 2 years of relevant working experience

• Excellent communication skills with good command in written and spoken English and Cantonese

• Working knowledge of account-opening and related processes is required

• Knowledge of financial markets and derivative instruments, anti-money laundering regulations and SFC

requirements around Hong Kong Professional Investors, MAS requirements around Singapore

Accredited Investors is desirable; Knowledge in other region's regulatory requirements is a plus

• Knowledge of Hedge Fund's structure and experience in handling HNWI is preferred

• 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

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