THE COMPANY:
Our client is a UK-leading investment firm, specialising in private client services.
THE RESPONSIBILITIES:
* Serve as the primary point of contact for the Front Office teams during the onboarding process, assisting with queries and client requests.
* To undertake timely reviews of new client application documents for all client types, ensuring AML requirements are adhered to.
* To undertake Anti-Money Laundering checks for new clients, reviewing and discounting AML and sanctions alerts.
* Conduct thorough Know Your Customer (KYC) checks and due diligence on new CDD and EDD clients, composing reports for potential clients where required.
* To ensure timely establishment of new accounts, ensuring client data is accurate and JM Finn procedures are adhered to.
* Ensure a seamless transition from onboarding to ongoing account management.
* Ensure Management Information is maintained regularly and recorded accurately.
* Processing changes of service requests, review Power of Attorney documents, and deceased client documentation.
* Provide guidance to the Investment Management and Investment Operations Departments in relation JM Finn policies and procedures regarding maintaining client data and onboarding.
* Action regular control tasks and participate in ad-hoc projects.
Additional tasks – Senior Analyst:
* Develop and maintain onboarding procedures and documentation.
* Monitor and track onboarding progress, addressing any issues or concerns promptly, and ensuring correct escalation routes are adhered to.
* Monitoring daily workflows within the team to ensure both regulatory and internal deadlines are met.
* Checking and authorising of daily work within the team and assist with daily processes where required.
* Ability to create and deliver effective training sessions for others in the Department.
* Assist with analysis and presentation of Management Information and reporting.
EXPERIENCE REQUIRED:
* Wealth management/private banking experience
* Investment Operations Certificate: Preferred to evidence the individual knowledge of the whole industry and dedication to their own career.
* Internal Regulatory Competency: In the absence of the IOC individuals can complete the internal competency exam to show the required level of understanding of regulation, process and risk requirements.
* Experience: Minimum of 5+ years in operations within the financial services industry
* Operational Knowledge: Covered multiple functions/operational areas. In-depth knowledge of the policies and procedures relevant to the department
* Regulatory Knowledge: Understanding of industry regulations including, but not limited to, CASS, MiFID II, COBS, and Consumer Duty.
For further information please contact Hannah Tabatabai
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