New Client Administrator (Operations)

Main tasks:

Administration

• Undertake all aspects of administration relating to on-boarding of new clients
• Work in line with the firm’s policies and procedures at all times
• Complete relevant daily/weekly/monthly and annual controls
• Support Investment Managers on-boarding their new clients
• Keep up to date with all relevant changes within the industry

Day-to-Day tasks include:

• Ensuring effective delivery of On-boarding obligations through monitoring of daily workflows within the team
• Review and approve new client cases including carrying out relevant AML/KYC/ Identity checks as required
• Perform additional case checks for junior members of staff prior to approval
• Assist with preparation of High Risk and EDD cases requiring MLRO approval
• Ensure correct escalation routes are adhered to when dealing with high risk or complex cases.
• Provide guidance (within the scope of your personal regulatory knowledge and training) to the Investment Management Department in relation to regulatory requirements and the relevant internal procedures.
• Ensure all regular control tasks are completed within required timeframes and assist with production of departmental MIS
• Assist with general queries received by the team
• Assist with ongoing reviews and monitoring of processes within the department and implementation of improvements where applicable
• Approval of client data amendments as required
• Contribute where required to general ad-hoc projects
• In addition to these functions, employees are required to carry out such other duties as may reasonably be required

Compliance:

• Work within the regulatory and the Firm’s compliance framework
• Maintain and complete target and goal setting that has been set.

Qualifications, skills, experience and competencies needed

Essential: Good knowledge and experience of FCA Regulations and market practice relevant to Private Clients

Good technical knowledge of all practices and procedures relevant to on-boarding new clients including understanding of KYC and AML documentation including EDD and PEP screening