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Associate, Transfer Agency, Fund Services

CITIC Securities International Company Limited Hong Kong
Posted 7 days ago Permanent Competitive

Associate, Transfer Agency, Fund Services

Key Areas of Responsibilities

  1. Process investor’s capital activity, including subscription, redemption, switching, transfer, etc. and review all the relevant supporting documents, including KYC /AML checks and sanction list screening.
  2. Involvement in client servicing and responding to client and/or investors’ queries.
  3. Take lead in establishing, review, implement and maintain effective Compliance and Anti-Money Laundering (AML) policies, procedures, systems, and controls in compliance with applicable Compliance and AML regulations and the organization’s KYC/AML standards.
  4. Act as the bridge between business team and compliance team on AML cases escalation and manage AML/CFT risks. Discuss and document unusual transactions with relevant stakeholders.
  5. Identify, assess, and implement all relevant new legal and regulatory developments within the AML framework.
  6. Day-to-day operations for compliance with the relevant policies, procedures, systems, and controls.
  7. Establish and maintain an appropriate compliance and AML training programme and adequate awareness arrangements for the business team.
  8. Perform regular sample checking over customer due diligence checks performed on new and on-going clients and investors as per the firm’s requirements.
  9. Keep pace with developments in AML/CFT laws and regulations, trends, techniques, and update indicators of money laundering or terrorist financing that could impact our business.
  10. Arrange and process payment settlements accurately and in line with agreed timelines and regulatory requirements.
  11. Track and monitor token rights, entitlements to ensure proper recordkeeping.
  12. Coordinate and manage account opening procedures for clients, including document collection and forms review/filling.
  13. Provide support to other operations’ team as assigned from time to time.
  14. Undertake ad-hoc projects as assigned.

Requirements

  1. Bachelor’s degree or equivalent in Business Administration, Law or similar.
  2. Master’s degree is a plus.
  3. 3- 5 years of working experience preferably gained in the compliance industry. Previous work experience in Fund Services would be a plus.
  4. Compliance related accreditations or qualifications preferable. (e.g., CAMS, ICA, CFE, etc.)
  5. Previous World-Check experience usage is a must.
  6. Thorough understanding of the local and international AML regulatory environment.
  7. Proactive, mature, high level of attention to detail, able to work independently under pressure and strong sense of meeting tight committed deadlines.
  8. Good interpersonal skills.
  9. Good verbal and written communication skills in Mandarin and English.
  10. Proficient in Word, Excel, PowerPoint and other presentation applications, including the ability to produce neatly presented work.
Job ID  JR002525
ABOUT COMPANY
Hong Kong
Asset Management

CITIC Securities International is a wholly owned subsidiary of CITIC Securities and its overseas business platform.

Our award-winning research, extensive footprint in Asia, direct links to China and highly experienced finance professionals set us apart within the industry.

As part of CITIC Securities (SSE: 600030, SEHK: 6030), China’s leading investment bank, CITIC Securities International is uniquely positioned to facilitate cross-border capital flows and connect China to the world and the world to China.

CITIC Securities International operates from 13 countries across Asia, Australia, Europe and the Americas. We offer comprehensives financial solutions to a large and diverse client base that includes global institutional investors, corporations, governments and high-net-worth individuals.

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