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:
1. 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 on-boarding queries, reviewing of tax documents.
2. Ensuring that client account opening documentation meets all regulatory and internal requirements.
3. Managing all changes to client profiles in line with regulatory/internal requirements and ensuring documentation meets the required standard.
Qualifications:
1. A minimum of 3 years relevant industry experience and previous experience of working in a CDD / AML role.
2. LCOI or Professional Diploma in Compliance is desirable but not essential; Degree preferred but not essential.
3. Proficient in Microsoft Office.
4. Full training will be provided on systems where required.
Ideal Characteristics:
1. Cyclical review of client accounts and management of any renewal paperwork required e.g., identity documents.
2. Periodic report reviews, including trading activity reports, investigation and reporting of exceptional items for AML.
3. Monitoring and reviewing our client base against international PEPS and Sanctioned persons watchlists.
4. Correction of trading errors and processing of financial write-offs and the management of supporting paperwork.
5. Management of various fee charging processes for the Wealth Management, ensuring timely and accurate charging.
6. Preparation of monthly management information (KPI) reports.
7. 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.
8. Genuine interest in furthering career in an Operations environment.
9. Excellent organisational and administration skills; ability to prioritize workload and multitask.
10. High level of accuracy and attention to detail.
11. Demonstrated ability to work to deadlines.
12. Excellent communication and interpersonal skills with a confident and professional demeanour.
13. An enthusiastic approach to work with the ability to work well on own initiative and in a team environment.
14. An aptitude to interpret regulations and regulatory guidance notes and provide guidance on their application.
15. A willingness to undertake industry qualifications and attain same within an agreed timeframe.
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