Officer, Client Management Operations, Setclear

15 hours ago

Pune, Maharashtra, India CITIC Full time ₹ 12,00,000 - ₹ 36,00,000 per year
Key Areas of Responsibilities
  • Performing screening reviews and KYC documentation checks, mainly for Asian-based clients.
  • Collecting relevant information and constitutional documents for clients.
  • Liaising with front office/internal stakeholders such as Syndicate Operations, CLSA, FATCA team, and clients regarding KYC documentation.
  • Performing verification checks with external data sources and Screening tools to comply with Customer Identification Program.
  • Drafting and approving for Politically Exposed Persons and special cases deviating from CLSA Group AML/CFT Policy.
  • Classifying new/existing clients from risk and regulatory perspectives.
  • Interacting with existing clients to handle tasks arising from periodic reviews.
  • Resolving issues during screening processes and escalating exceptions to Regional/Group Head of Compliance when needed.
  • Maintaining a current database of all information, documents, and financial reports linked to Compliance, Legal, and Internal Audit.
  • Promoting ideas for process improvements and assisting in their implementation

Requirements

  • Good understanding of constitutional documents and corporate structures.
  • Attention to detail and process orientation.
  • Minimum 5 years of relevant experience
  • Investigative skills to identify and resolve issues.
  • Strong prioritization, organizational, and multi-tasking abilities.
  • Self-motivated, eager to learn, and open to challenges.
  • Bachelor's degree or above.
  • Excellent verbal and written communication skills.
  • Knowledge of account-opening processes.
  • Knowledge of markets and instruments, plus front-to-back investment banking processes.
  • Knowledge of anti-money laundering regulations.
  • Proficiency in Microsoft Word and Excel.
  • Relevant experience in investment banking AML/KYC processes.

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