KYC Officer, Operations

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