Associate Director, Client Onboarding Asia, Operations, CFCM, Investment Banking
CLSA · Hong Kong
Position Description
This is a leadership role within the Corporate Finance and Capital Markets (“CFCM”) department. The Associate Director will oversee and lead the onboarding team (COB), ensuring processes are efficient, compliant, and aligned with business objectives. This position requires a seasoned professional with strong expertise in AML/KYC processes, client account opening, and stakeholder management, alongside a demonstrated ability to lead teams effectively.
Key Areas of Responsibilities
- Lead the COB team and perform project-related KYC/AML checks and client trading account openings, ensuring accurate and timely execution of processes.
- Provide oversight and review for the collection of relevant information and constitutional documents, managing the account opening process for new clients through collaboration with external clients, front office/business, FATCA team, Operations, and Compliance teams.
- Ensure team compliance with the defined Customer Identification Program and regulatory standards, leveraging external data sources and screening tools effectively.
- Classify new and/or existing clients from a risk and regulatory perspective, ensuring consistent and thorough risk assessment processes.
- Resolve complex issues arising from screening processes efficiently, with timely escalation of exceptions to relevant stakeholders.
- Maintain oversight of the team’s workload and ensure proper management of the database with documents, financial reports, and account-related news for Compliance vetting, Legal, and Internal Audit purposes.
- Act as the primary point of escalation for the team regarding client account opening and AML-related matters, engaging effectively with internal and external stakeholders.
Requirements
- A Bachelor’s degree is required; a Master’s degree in Finance, Business Administration, or a related field is a plus.
- Minimum 5 years of experience in Corporate Finance/Investment Banking support roles, ideally within top-tier HK-regulated securities firms or related industries.
- A thorough understanding of constitutional documents and corporate structures.
- Strong expertise in account-opening processes and KYC/AML procedures.
- Knowledge of anti-money laundering regulations and HK Professional Investor Policy.
- Practical experience using AML screening tools (e.g., WorldCheck One) is highly advantageous.
- Exceptional communication skills in both English and Chinese (verbal and written).
- Detail-oriented, process-driven, and committed to delivering results.
- Self-motivated, with the ability to drive new ideas and continuous improvement while achieving business objectives.
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