Job Description
To manage the EMEA Client On-boarding function of 16 FTE. Role will manage this function
across the region along with the respective European Branches / Subsidiaries.
Oversight of new client
pipeline, periodic reviews and overnight client screening.
The role holder is also responsible in a leadership and management capacity for hiring and development,
resource management, product expertise and all other relevant management responsibilities for
the Client On-boarding Function.
AML/KYC technical expertise, sound decision making, risk awareness and management
experience to support the team.
Provision of EMEA wide support, including to Continental Offices where required.
Ensure the functions KYC & Tax regulatory responsibilities are understood with
processes and controls established to ensure compliance.
Ensuring that the Company complies with the relevant KYC and anti-money laundering
legislation, regulation and guidance, including the Money Laundering Regulations 2007,
section 6.3 of the FSA Handbook (Senior Management Arrangements, Systems and
Controls – Financial Crime) and the Guidance issued by the Joint Money Laundering
Steering Group.
Ensure the applicable regulatory due diligence has been conducted on all new and
existing clients.
Ensure the effective running of the Client Onboarding team to ensure all day to day
activities are completed, identifying operational issues, taking steps to mitigate risk by
enhancing operating process & systems.
Work with the business to manage client On-boarding pipeline and complete periodic
rolling client account reviews for all the firm
Liaise with Credit, Legal and Compliance to ensure relevant approvals have been
granted.
Key point of escalation for all Client and stakeholders both internal and external to the
firm, in relation to all Client On-boarding tasks.
Produce regular and detailed MI to ensure senior management across entities are fully
aware of workload and throughput.