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New Client Administrator (Operations)

HAR2312
40,0000
Full Time
Greater London
London
21-07-2022 09:22 AM

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

 

Fergus Hooley

DIRECTOR - COMPLIANCE

07425 325267