Client Onboarding - Wealth Management
- Employer
- Eximius Finance
- Location
- London, United Kingdom
- Salary
- £50k - £55k
- Closing date
- Aug 18, 2023
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- Job Function
- Compliance/Regulatory
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
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Key responsibilities
Elements of the onboarding process
- Review and approval of clients' documentation and source of wealth information and evidence
- Responsible for managing the onboarding workflow for all accounts where they are the lead reviewer
- Responsible for the coordination and approval of systems set up including the client online access
Elements of the onboarding process
- Initial risk assessment of new clients to determine whether they should be escalated to the Compliance team for review
- Review of all client documentation including legal documentation, source of wealth evidence and client due diligence
- Review PEP / sanction checks and media searches to identify potential high risk factors
- Analysis of suitability assessment completed by the Front Office team and ensuring we have documented the process accurately
- Reviewing the FATCA, CRS and QI withholding tax documentation provided by the client
- Ensuring we have all necessary data related to the client including national identifiers and Legal Entity Identifiers for MiFID II
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