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- Tasks: Be the go-to person for onboarding clients and ensuring smooth transitions.
- Company: Join a leading UK investment firm focused on private client services.
- Benefits: 12-month fixed-term contract with competitive salary and professional growth opportunities.
- Why this job: Make a real difference in client experiences while developing your skills in wealth management.
- Qualifications: 5+ years in financial services, with knowledge of regulations and operational processes.
- Other info: Dynamic role with opportunities to lead training sessions and improve onboarding procedures.
The predicted salary is between 36000 - 60000 £ per year.
THE COMPANY: 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 to 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.
Client Onboarding Senior Analyst - wealth management (12 month FTC) in London employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Client Onboarding Senior Analyst - wealth management (12 month FTC) in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the wealth management sector and let them know you're on the lookout for opportunities. A friendly chat can lead to insider info or even a referral, which can give you a leg up in the hiring process.
✨Tip Number 2
Prepare for interviews by brushing up on your KYC and AML knowledge. Be ready to discuss how you've handled client onboarding in the past. We want to see your expertise shine through, so practice articulating your experiences clearly and confidently.
✨Tip Number 3
Showcase your problem-solving skills! During interviews, be prepared to share examples of how you've tackled challenges in previous roles. This will demonstrate your ability to handle the fast-paced environment of client onboarding and ensure a smooth transition for clients.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who take the initiative to engage directly with us. So, get that application in and let’s make it happen!
We think you need these skills to ace Client Onboarding Senior Analyst - wealth management (12 month FTC) in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the job description. Highlight your experience in wealth management and any relevant qualifications, like the Investment Operations Certificate. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for the Client Onboarding Senior Analyst role. Share specific examples of your past experiences that relate to the responsibilities listed in the job description.
Showcase Your Regulatory Knowledge: Since this role involves understanding regulations like CASS and MiFID II, make sure to mention any relevant experience or knowledge you have in these areas. We love candidates who are well-versed in industry standards!
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It helps us keep track of your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Compliance Professionals
✨Know Your Stuff
Make sure you brush up on your knowledge of wealth management and the specific regulations mentioned in the job description, like CASS and MiFID II. Being able to discuss these topics confidently will show that you're serious about the role.
✨Showcase Your Experience
Prepare examples from your past roles that highlight your experience in client onboarding and operations. Think about specific challenges you faced and how you overcame them, especially in relation to AML checks and KYC processes.
✨Ask Smart Questions
Come prepared with insightful questions about the company's onboarding procedures and how they ensure compliance. This not only shows your interest but also demonstrates your understanding of the importance of these processes in wealth management.
✨Demonstrate Team Spirit
Since you'll be working closely with Front Office teams and other departments, emphasise your ability to collaborate and communicate effectively. Share examples of how you've successfully worked in a team to achieve common goals, especially in high-pressure situations.
