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Client Onboarding - Wealth Management

Eximius Finance
London, United Kingdom
£50k - £55k
Closing date
Aug 18, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
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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