Wealth Management

1 week ago

Sydney, New South Wales, Australia Anton Murray Consulting Full time

Sydney
Wealth Management
Contract or Temporary

Our client is a global tier-one Wealth Management firm seeking an experienced KYC Maintenance Associate to join either their Sydney or Melbourne Account Management Team on an initial 12-month contract.

The ideal candidate will have wealth management / retail equity broking / Wealth Management client onboarding/ KYC / AML experience and ideally some understanding of UK FSA regulations alongside Australian regulations.

Key Responsibilities:

This role is broadly responsible for supporting all operational processes for the CIP KYC and PEP reviews, including:

  • Account opening for sub-accounts, SMAs and OTC product accounts.
  • Reviewing and processing static data change, i.e updating contact details, account type and profile
  • Reviewing and processing trigger event, including all types of change that trigger CDD insufficient or outdated based on the current KYC rules, i.e. change of directors and entity name
  • Monitoring and processing different requests in Workflow, i.e reviewing different modules for international platform and conduct signature verification.
  • Deceased Estate Handling: including dealing with death notifications, account block and uplift and adding executor(s) to the account, etc.
  • Power of Attorney: reviewing and handling POA/EPOA requests and add them to both domestic and interntaional platform accounts.
  • Post-onboarding EDD/PEP: Monitoring Enhanced Due Diligence report on a daily basis and investigating the high/high+ risk trigger.
  • Initiate EDD/PEP process for high/high+ risk accounts.
  • Handling questions/queries from the front office.
  • Ad hoc tasks: i.e Project, Client communication/mass mailing, US IPO, MIFID Quarterly Statements, BCAN and CGG/PPSR Registration, etc

Other info:

  • In KYC Maintenance, the tasks will be more varied and combination of trigger events where client's situation changes and we conduct applicable review of KYC profile
  • Role will be more varied in types of requests we support, more multi-tasking, little more communication with business

Desired Experience/Qualifications:

  • Bachelor's degree or equivalent education or experience required.
  • At least 3 years' experience in the financial services industry, ideally with previous experience in Risk and Compliance with a private bank, or onboarding/periodic review in a top-tier bank.
  • Understanding of global AML/KYC standards, in particular Australian and UK- FSA requirements.
  • Strong analytical and organisational skills.
  • Strong communication skills to effectively and clearly instruct/ advise Sales teams and other stakeholders.
  • Ability to articulate issues concisely and effectively.
  • Able to work both independently and with a team in a dynamic environment with high pressure on timeliness and quality of deliverables.
  • Impressive knowledge of KYC documentation, industry regulations and best practices.

This role will pay approximately $ per day plus super, depending on prior experience in relevant positions.

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