Operations & Distribution

Client Services - Onboarding Specialist

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This is far more than a standard KYC client relations role. If you have strong UHNW / HNW wealth client relations experience .

Job Code: 04062016
Pay Rate: Circa £55000

Job Description:

The role is for a Client Onboarder - a critical role within the firm responsible for the client onboarding process, maintenance of physical client files and operational activity. The individual being sought will be detail orientated and able to manage often complex client arrangements as part of the initial client take-on process and as client accounts evolve over time.

As clients are taken on  there will be on-boarding and oversight requirements that must be met in order that the firm meets all of its primary obligations both legally and also against the firms risk appetite around individuals, families, companies, trusts and equivalent that become clients.

The firm has developed a number of key policies and procedures. The individual in the first instance will be responsible for adhering to and proposing improvements to the key policies, procedures and controls for the firm. The ongoing review and improvement of policies and procedures is critical for the successful take-on of clients as the firm grows. They will also be critical to ensure we do not place the firm at regulator risk. Attention to detail will be required to ensure compliance is maintained and as time evolves the Onboarder should be familiar with all client relationships.

In addition to the objectives of the firm to meet its regulatory obligations, we are setting an expectation that all client interactions should be wherever possible, seamless, professional and a positive client experience.  

The individual will work closely with the Head of Governance, General Counsel and the Operations team.


Responsibilities and Accountabilities:

The individual will be responsible for a number of critical functions:

Adhere to pre-defined and develop where possible the client management policies, processes and tools for:

  • Prospects, introducers, clients and related parties of various types including individuals, companies, trusts and charities;
  • Modelling complex client relationships and related/associated party hierarchies;
  • Contacts, Fact Find / Suitability and KYC data and controls;
  • KYC / due diligence control ‘check’ lists, e.g. ID&V, source of wealth, source of funds and risk classification;
  • Investor Visa Accounts;
  • Periodic / annual client data review and trigger mechanisms; and
  • Workflow and controls to manage and monitor the timely on-boarding of complex client relationships.

Run the day-to-day business practices

  • Meet clients to assist with account opening forms and KYC requirements;
  • Prospect review / governance;
  • Client on-boarding and account opening;
  • Client review / on-going KYC / trigger event monitoring / review of adverse media; and
  • Client closures / probates.

Evolution of process, procedures and tools to support:

  • Regulatory change;
  • Evolving proposition; and
  • Optimisation / efficiencies and client experience.


Qualifications and Education Requirements

The candidate will have pre-existing experience in client take-on, with a mixture of client service, compliance, legal and/or operational experience.

The individual will hold a University Degree and is expected to have had significant financial services experience.

Preferred Skills

The successful individual will be working with a new firm that has rapid growth planned for the next 3-5 years. The candidate will need to be able to work in a rapidly increasing level of activity.  The candidate whilst being meticulous and detail orientated will have an eye to innovation and continuous improvement of processes.

The Onboarder will be expected to meet clients and walk them through the account opening forms and KYC requirements that are to be completed. Therefore the Onboarder must be confident in dealing with all clients, polished and professional at all times.

As a new firm implementing new policies, procedures and controls, will need to be able to multi-task and prioritise activity, either to internal resources or to external resources.

The role will provide significant opportunity for the candidate covering a broad range of areas. With the role will come ownership and within a flat structure, the ability to work cross function in a seamless way. It is expected that the candidate has a flexible can-do attitude and is able to work both on their own and within a team.

This is an amazing role at a very exciting firm.

Preferred Skills: