About the job
Wealth Management Operations Executive
Client Support Services
Our client is a leading name in the provision of wealth solutions to many clients nationally. A household name in the industry, they are now looking to fill the following position: Wealth Management Operations Executive, Client Support Services.
Business Accountabilities:
* Providing support and guidance to the Wealth Management on a broad spectrum of matters e.g., Client Due Diligence (CDD) requirements for all client types and jurisdictions, technical client onboarding queries, reviewing of tax documents.
* Ensuring that client account opening documentation meets all regulatory and internal requirements.
* Managing all changes to client profiles in line with regulatory/internal requirements and ensuring documentation meets the required standard.
Qualifications:
* A minimum of 3 years' relevant industry experience and previous experience of working in a CDD/AML role.
* LCOI or Professional Diploma in Compliance is desirable but not essential; degree preferred but not essential.
* Proficient in Microsoft Office.
* Full training will be provided on systems where required.
Ideal Characteristics:
* Cyclical review of client accounts and management of any renewal paperwork required e.g., identity documents.
* Periodic report reviews, including trading activity reports, investigation and reporting of exceptional items for AML.
* Monitoring and reviewing our client base against international PEPs and sanctioned persons watchlists.
* Correction of trading errors and processing of financial write-offs and management of supporting paperwork.
* Management of various fee charging processes for the Wealth Management, ensuring timely and accurate charging.
* Preparation of monthly management information (KPI) reports.
* Keeping abreast of all new/revised legal/operational matters affecting the department and assessing the impact on the day-to-day running of the department.
* Genuine interest in furthering career in an operations environment.
* Excellent organisational and administration skills; ability to prioritise workload and multitask.
* High level of accuracy and attention to detail.
* Demonstrated ability to work to deadlines.
* Excellent communication and interpersonal skills with a confident and professional demeanour.
* An enthusiastic approach to work with the ability to work well on own initiative and in a team environment.
* An aptitude to interpret regulations and regulatory guidance notes and provide guidance on their application.
* A willingness to undertake industry qualifications and attain the same within an agreed timeframe.
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