About the Role
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We are seeking an experienced Wealth Management Operations Executive to join our team. In this role, you will provide support and guidance to our Wealth Management department on a broad spectrum of matters.
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Key Responsibilities:
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* Provide support and guidance to the Wealth Management department on client due diligence requirements, technical client on-boarding queries, and reviewing tax documents.
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* Ensure that client account opening documentation meets all regulatory and internal requirements.
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* Manage changes to client profiles in line with regulatory/internal requirements and ensure documentation meets the required standard.
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Requirements:
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* A minimum of 3 years relevant industry experience and previous experience of working in a CDD / AML role.
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* LCOI or Professional Diploma in Compliance is desirable but not essential; Degree preferred but not essential.
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* Proficient in Microsoft Office.
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* Full training will be provided on systems where required.
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Ideal Characteristics:
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* Cyclical review of client accounts and management of any renewal paperwork required e.g., identity documents.
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* Periodic report reviews, including trading activity reports, investigation and reporting of exceptional items for AML.
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* Monitoring and reviewing our client base against international PEPS and Sanctioned persons watchlists.
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* Correction of trading errors and processing of financial write-offs and the management of supporting paperwork.
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* Management of various fee charging processes for the Wealth Management, ensuring timely and accurate charging.
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* Preparation of monthly management information (KPI) reports.
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* 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.
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* Genuine interest in furthering career in an Operations environment.
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* Excellent organisational and administration skills; ability to prioritize workload and multitask.
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* High level of accuracy and attention to detail.
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* Demonstrated ability to work to deadlines.
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* Excellent communication and interpersonal skills with a confident and professional demeanour.
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* An enthusiastic approach to work with the ability to work well on own initiative and in a team environment.
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* An aptitude to interpret regulations and regulatory guidance notes and provide guidance on their application.
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* A willingness to undertake industry qualifications and attain same within an agreed timeframe.
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