The role is based within the Client Management team and has responsibility for the client life cycle. This includes client on-boarding, periodic reviews and account closure
MAIN DUTIES & RESPONSIBILITIES
- Creating and collating all documentation required to on-board new clients for their client agreement
- Setting up custodian accounts for clients
- Liaising with all stakeholders involved with client set up, including the Client Management team, Investment team, Middle Office, UK Risk & Compliance and Operations teams
- Monitoring PEP and Sanction status for each client or entity using the online system. This involves working with UK Risk & Compliance regarding PEP and Sanctioned clients
- Ensuring anti-money laundering regulations are followed throughout the onboarding process. This includes ensuring all documentation complies with FCA ruling on anti-money laundering documents and working effectively with the UK Risk & Compliance team to ensure any issues are resolved
- Suitability profiling using the online system and liaising with the Client Relationship Manager regarding the outcome of the Suitability profiling
- Monitoring and reviewing all documentation for existing clients, ensuring changes to their portfolios are made in a timely and accurate manner. Daily updates for PEP and Sanctioned status monitoring, liaising with UK Risk & Compliance
- Working proactively with UK Risk & Compliance and Operations to ensure the smooth operation of the business.
- Supporting projects which involve clients and as part of the Client Management Support Team, whether ad-hoc or updates in FCA rules or legislation
requirements
QUALIFICATIONS AND EXPERIENCE
- Educated to degree level or equivalent
- Financial services experience essential
- Relevant experience in an onboarding role for varied client types such as Trust, Individual, Corporates and Charities
- Good knowledge of regulatory frameworks and business practices
- Microsoft Office Suite (including Word, Excel and PowerPoint)
- Touchstone NavOne system experience desirable
- Experience of Thomson Reuter, WorldCheck or similar systems essential
SKILLS
- Ability to plan and prioritise work within a fast-paced environment involving multiple projects
- Efficient and highly organised, with the ability to multi-task
- Excellent communication skills (written and verbal)
- Excellent organisational and planning skills
- Strong attention to detail
- Ability to work under pressure and to tight deadlines
COMPETENCIES AND BEHAVIOURS
- An interest in the continued development of the business
- Pro-active with the ability to take initiative
- Discreet, loyal, confidential & trustworthy
- Self-motivated
- Team player
- Positive and enthusiastic attitude
- Willing to work additional hours as required
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