JOB SUMMARY AND RESPONSIBILITIES
- Develop relationships with PWM business teams, PWM Compliance, PWM Legal, and other Operations groups to ensure that PWM Operations is providing the highest quality introductory experience throughout the on boarding process
- Ensure that all client documentation required by the Firm's Customer Identification Program (CIP) is received, reviewed and approved within the appropriate timeframes in line with AML and Know Your Client requirements
- Ensure downstream systems correctly recognize approved clients, products and services, including Cash products, Client Statement and Performance reporting
- Review relevant client and Legal documentation, verify client signatures and perform regulatory and risk related exception processing
- Process and control analysis to ensure effective oversight and risk management including the adherence to and enforcement of Firmwide policy and relevant regulations
- Resolve issues through coordination with PWM business, PWM Compliance, PWM Legal and other Operations teams
- Work with various teams, including the PWM business and Operations, on process improvement and strategic projects
SKILLS & EXPERIENCE WE'RE LOOKING FOR
BASIC QUALIFICATIONS:
- Bachelor's degree
- Minimum Experience: 2 years in KYC or Onboarding Review, with a preference for knowledge of EMEA Market regulations
- Knowledge of MS Office (Word, Excel, etc.) as well as proficiency with web-based applications
- Good understanding of the financial industry including active interest in financial services and Operations
- Strong interpersonal skills with ability to build the trust and confidence in capabilities, work well with others internally to accomplish client objectives
- Must be a team player, hardworking, resourceful and eager to learn
- Must be able to multi-task, prioritize work, and work well under pressure from multiple clients/constituents to respond to inquiries quickly
- Highly organized, attention to detail and excellent follow through skills
- Proactive, self-starting individual with high levels of ownership and ability to work independently, to gather information, make decisions and drive results.
- Highly motivated with enthusiasm to learn the business and the clients we support
