Job Purpose
To perform the daily duties, checking and general processing of all Client Onboarding functions, in a timely and accurate basis, whilst ensuring compliance with regulatory requirements. The role holder will operate within defined standards and guidelines which are aligned to service level agreements and data quality controls.
Responsibilities
- Assist the Head of Client Onboarding in daily responsibility for oversight of the team ensuring that:
- All team tasks are documented and completed to deadline and that reconciling items are resolved within appropriate timescales.
- Appropriate action is taken to rectify errors or omissions and that any anomalies are escalated in a timely fashion.
- Provide technical advice to assist in resolving complex issues or queries which arise within the team.
- Ensure comprehensive client records are kept and that these are accurate and up to date at all times.
- Act as an alternate contact for the department on Group wide projects and initiatives.
- Support management in ensuring that systems, processes and controls are in place and are fit for purpose.
- Support management in ensuring that team procedures are documented, periodically reviewed and updated.
- Support the Head of Client Onboarding in the implementation of the risk and control matrix.
- Work with management to review business initiatives, policies and products from an operational perspective to ensure that they are fully supportable.
- Provide technical assistance to the change management programme relevant to your area and actively manage the development and delivery of changes to operational and systems infrastructure.
- Prepare accurate and comprehensive management information within the timescales agreed.
- Regularly complete Training Needs Analysis of team members to ensure they have the required skill and knowledge to perform their role highlighting to the senior manager.
- Ensure that all dealings with internal / external clients are conducted professionally and that requests are dealt with in a timely and effective manner and takes responsibility to resolve.
- Lead by example displaying strong values and beliefs and a commitment to encouraging individuals to put the client at the front of everything that they do.
- Appropriate Management Information Report, Key Performance Indicators, Key Risk Indicators (KRI) in place and updated by due dates.
- Be able to explain the divisional strategy, demonstrating how business should be conducted to achieve the desired goals.
- Significant operations experience gained within financial services.
- Demonstrable and practical knowledge of the regulatory environment relating to investment management and in particular settlement operations.
- Demonstrable experience of supervising the work of more junior members of staff.
- Experience of managing a team desirable, although not essential
Professional Qualifications and Education
- No specific degree classification is required. Relevant experience in client onboarding, AML/KYC, compliance, financial services, professional services or case management will be considered.
Key Competencies
- Case ownership and delivery focus
- Persuading and influencing
- Client communication and ability to explain technical concepts simply
- Stakeholder management and constructive challenge
- Attention to detail and quality assurance
- Teamwork
- Leadership
- Sound judgement, risk awareness and continuous improvement
Key Competencies
- Enthusiasm and drive - to drive sales and business development process with colleagues
- Collegiate - A team player with the ability to work cooperatively with colleagues at all levels
- Communication - ability to clearly articulate internally and externally to achieve objectives
- Persuading and influencing - to gain approval and support of fee earning Partners and staff
- Excellent communication skills are essential - a demonstrably high level of written and spoken English
- Resilience and enthusiasm