Client Onboarding Specialist

7 months ago

Sydney, Australia Anton Murray Consulting Full time

Melbourne, Sydney
Wealth Management
Contract or Temporary

Our client is a leading Private Wealth Manager seeking an experienced Client Onboarding / KYC candidate to join their team for an initial 12 month contract in either Sydney or Melbourne.  

This position lies with the Account Management Team, a team that is responsible for ensuring that Know Your Client (KYC) account opening documentation complies with the firm’s global standards and any additional local regulatory requirements. 

The ideal candidate will have Private Banking & Wealth Management Onboarding understanding for UHNW / HNW and Trusts working in a Compliance / AML function or has onboarding experience at another top-tier global Bank. The team owns the front to back process for onboarding clients. The team covers a domestic private wealth management client base that consists of individual, joint, trusts and an expanding client base of funds and subsidiaries of listed companies.

The responsibilities will vary upon the experience of the successful candidate:

  • Review documentation from Sales which includes the Client Identification Program (CIP) documents, Account Opening Documents and other documents as required by global and local policy. Communicate timely and effectively to Sales on missing documentation, inconsistent information and incorrect data capture in the onboarding platform.
  • Escalate regulatory concerns or exceptions to the Manager for further review and discussion; conduct Enhanced Due Diligence where necessary. Submit accounts with high-risk triggers or high-risk accounts for Global Financial Crimes (GFC) signoff.
  • Review and validate the accuracy of values that impact client’s ML / TF risk, such as Source of Wealth (SoW) and Total Net Worth.
  • Continuous and active engagement with Sales teams to share KYC and ML / TF guidance, with the objective to improve the standard and quality of KYC and client due diligence 
  • Ensure account opening documentation and relevant approval records are retained properly in internal database and monitor the receipt of any outstanding documentation within required timeframe.

Requirements:

  • Knowledge of account structures of various complexity. 
  • Knowledge of trusts, charities and foundations a plus.
  • Knowledge of CIP requirements for onboarding High Risk clients a plus.
  • Excellent verbal and written communication skills.
  • Organized and detail oriented.
  • Self-motivated and enthusiastic.
  • We need staff who if they don’t have direct experience with detailed SOW etc they do at least understand the associated risks and importance of this work (i.e. what types of red flags do we look out for, what types of industries do you think would be considered high risk). Knowledge of more complex entities at a base level needed I think, especially trusts.
  • Outside base technical skills we need to find ‘’problem solvers’’, people with the right attitude, energy and ability to see a challenge and whilst they may not know the answer have the skills to go about trying to find them. 

Education and/or Experience:

  • Bachelor’s degree required or equivalent education or experience.
  • 3-6 years plus relevant working experience in the financial services industry. Candidates with less experience may be considered.
  • Ideally with previous experience in Compliance or Risk within a private bank or onboarding in a top-tier bank.

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