Contract Type: | Permanent |
Location: | London |
Industry: |
Financial Services
|
Salary: | £50000 - £60000 per annum |
Start Date: | ASAP |
REF: | GW1142_1489751921 |
Job Published: | about 5 years ago |
Overview:
- Oversee the day-to-day client suitability processes: Monitor group inbox and work queues
- Manage and delegate work to the Suitability Unit team
- Monitor account opening/client repapering status; dealing with delays and issues
- Manager CF30 training and competance appraisal process including identifying suitability training needs and undertaking suitability training with staff.
- Perform process controls including, but not limited to, data integrity, key performance and risk indicators, document tracking etc.
- Initial point of escalation for staff queries
- Contribute to continuous process improvement efforts
- Provide subject matter knowledge and expertise to Front Office and other departments
- Maintain a list of issues for discussion with the Compliance Monitoring Department and CIO
- Produce monthly MI to the Board
Experince:
- 3-5 year's experience of conducting detailed suitability based file reviews
- Professional compliance or client onboarding qualifications would be an advantage
- Working knowledge of the regulation surrounding onboarding and suitability, including JMLSG and COBS
- Managerial/training experience from a brokerage
- Experience in FACTA and Common Reporting Standards (CRS)

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