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)