Associate, IE Client Onboarding, Institutional Equities

Key Areas of Responsibilities

• Perform end-to-end new client onboarding process that is managed for India
• Coordinate with client / counterpart across multiple functions / units - Front Office, Compliance, AML, Operations, FATCA under business/ client urgency.
• Collecting all relevant constitutional documents. This will include liaising with external client and Internal teams.
• Knowledge of retrieving documents from KRA is essential.
• Directly dealing with clients and explaining which document is required under which regulation in India
• Strong understanding of KYC requirements and undertake client due diligence on existing clients to ensure identification of changes in risk profile, including reputational and operational risk factors
• Performing verification checks with external data sources and Screening tools to ensure that all documents submitted meet the defined Customer Identification Program and Internal AML policies.

Requirements

• Minimum 2-3 years of relevant experience in KYC/Client Onboarding functions and preferably within the Financial Institution specifically broking industry
• A good understanding of constitutional documents and corporate structures is required.
• Knowledge of SEBI AML regulations will be an advantage.
• Attention to detail and process oriented.
• Research/ Investigative skills.
• Proficient in Word and Excel
• Strong attention to details, process oriented, time management, organizational, relationship building skills plus keen investigative skills.

• Stay informed on CITIC CLSA Job Opportunities
• Not the right fit? You can create a job alert to receive our latest job openings that meet your interest.