Provides client onboarding and KYC support for the Sales team in a financial services environment. Responsibilities include collecting and screening client documentation, creating and maintaining accounts and client files, conducting annual reviews, reconciling records, managing GDPR-related documentation, supporting frontier-market onboarding, and preparing client statistics. The role also handles ad hoc client queries, coordinates with brokers, and provides information to front-office, compliance, and audit teams.
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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CLSA London, England Office
12/F Moor House, 120 London Wall, , London, United Kingdom, EC2Y 5ET
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