Officer, Client Management Operations, Setclear Pune

Key Areas of Responsibilities Performing screening reviews and KYC documentation checks, mainly for Asia-based clients. Collecting relevant information and constitutional documents for clients. Liaising with front office/internal stakeholders such as Front Office, FATCA team, Compliance, AML 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 current/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 Positive understanding of constitutional documents and corporate structures. Attention to detail and process orientation. Investigative skills to identify and resolve issues. Robust 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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