Client Onboarding Associate

Position Summary:

• Full end-to-end preparation of client application packs for Compliance and Risk review. This requires a solid knowledge of applicable rules and regulations and of internal policies and procedures to collect the required client information and documentation.
• Forensic review of client KYC documentation in conjunction with regulatory rules, requirements and internal polices of anti-money laundering, counter terrorist financing, know your client, client due diligence, sanctions, anti-bribery and corruption, fraud and tax evasion.
• Conducting an AML Risk Assessment on each client based on findings throughout the review.
• AML and adverse media screening of clients and their related parties on Refinitiv World Check One.
• Reviewing PEP and Adverse Media hits to highlight the AML concerns and creating a report on each and providing mitigating factors.
• Daily review of all screening alerts generated by Refinitiv World Check One.
• Execution of give-up agreements for give-up clients using Futures Industry Association (“FIA”) Docs.
• Liaising directly with clients and with front office staff to resolve account application questions and issues.
• Ensuring the creation and maintenance of accurate client information and static data on internal systems.
• Producing management information and ad-hoc reports for the Compliance department.

• Other duties as assigned.

• Minimum of 1-2 years experience in Account Opening/Onboarding;
• Familiarity of relevant industry rules and regulations.
• Effective communication skills both written and verbal for assisting in client and internal requests.
• Ability to work well under pressure.
• Strong organisational and analytical skills essential.
• Ability to be self-motivated, organised and to ensure work is completed in a timely manner with deadlines met.
• Able to adapt to a fast-changing environment and changing priorities.
• Good team player with a proactive attitude
• General and good understanding of Microsoft Windows desktop operating system and basic PC skills.