JOB SUMMARY
- Assisting in the repapering of the client investment management agreement (IMA).
- Manually mining clients' static data
- Updating clients' information
- Liaising with and reporting all file inconsistencies to the Line Manager and ensuring they are rectified in a timely manner
- Supporting the Line Manager with any ad hoc matters that may arise
- Identifying and, where appropriate, escalating to the Line Manager any issues of legal, regulatory or reputational significance identified
- Liaising with internal stakeholders including but not limited to; middle office, back office, IT and UK Risk & Compliance
- Promote and develop robust Operating Procedures across the business
MAIN DUTIES & RESPONSIBILITIES
To support the Investment Management team through the manual mining of clients' static data
- Performing quality review checks on all client files
- Performing remediation and uplift projects, including coordinating of efforts with the teams, tracking of applicable tasks and status reporting
- Identifying and reporting any inconsistencies to the Line Manager
- Liaising with all involved from start to finish for the project
- Ensure accuracy and attention to detail in the production of these documents
Updating Information and Issuing IMA's
- Ensure accuracy and attention to detail when updating information
- Keeping accurate MI for all quality checks undertaken
- Reviewing and identifying internal process improvements (control and process efficiency), including team metrics, the centralisation and automation of functions in order to create efficiencies and achieve data consistency
- Keeping Line Manager up to date with appropriate levels of feedback with all aspects of the project
Promote and develop robust Operating Procedures across the business
- Responsible for adhering to the operating procedures of the business as written and of providing enhancements and changes to the procedures as and when identified
- Assisting in the detailed plan to overcome any non-compliance issues, ensuring the appropriate controls are in place to avoid any future non-compliance
- Identifying any issues which may have legal, regulatory or reputational issues
- It is essential that any such changes are properly documented immediately.
QUALIFICATIONS AND EXPERIENCE
- Qualified to degree level or equivalent
- Prior Financial Services/KYC experience preferably from within a Wealth Management business
- Some knowledge of UK laws and regulations related to AML / KYC
- Experience in onboarding / client KYC
- Experience of front to back office processes
- Experience in process analysis and control
SKILLS AND COMPETENCIES
- Able to exhibit good enforcement of KYC regulation and processes
- Understands complex deal structures
- Strong analytical skills and effective problem-solver
- Ability to identify, eliminate and mitigate risks and escalate issues as appropriate
- Excellent communication skills and an ability to communicate clearly and effectively across all levels and to present clear and concise solutions
- Ability to manage multiple concurrent tasks, with a strong focus on execution and delivery
- Confident, driven, self-starter within an ability to work independently as well as in the team.
- Microsoft Office Suite to a high standard
If you feel you have the required experience, I'd love to hear from you.
Please note - The salary offered is on a pro rata basis.
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