Client Onboarding - Wealth Management

Key responsibilities

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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