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
