Company Description

Cavenwell Group is an independent, award-winning provider of digitally enabled capital structuring and administration solutions. The firm focuses on combining advanced technology with deep financial expertise to deliver efficient, compliant, and scalable services to its clients. As a growing organization, Cavenwell Group offers opportunities to work with innovative tools and complex financial structures in a professional, collaborative environment. Team members benefit from exposure to a diverse client base and a culture that values integrity, continuous improvement, and high-quality client service.

Position Overview

This is a newly formed and specialized role, suited to someone with a compliance background or someone client-facing looking to transition into a functional role, maintaining client contact without dedicated relationship management. The role holder will primarily be responsible for the execution of the firm’s periodic review cycles, alongside offering support and annual leave cover for onboarding workflows as part of the Onboarding & Assurance Pod.

Roles and Responsibilities

• Acting as the primary point of contact for clients throughout the periodic review and onboarding processes, collaborating with colleagues across all jurisdictional pods who manage the ongoing relationships. Communicating clearly and professionally, setting appropriate expectations on timelines and documentation requirements, and escalating client queries or issues internally where required.
• Taking responsibility for the day-to-day execution of client periodic review cases, across a varied client book, progressing each case from initial instigation to final internal approval.
• Taking responsibility for implementing periodic review procedures including the collation and management of information and CDD using digital tools and completion of the Customer Risk Assessment (CRAs) consistently and to a high standard.
• Develop an in-depth understanding of AML/CDD requirements across multiple jurisdictions and apply these measures to the periodic review process as required.
• Undertake compliance screening on clients and connected parties as part of the CDD processes, escalating adverse findings or unusual results to the Compliance team as required.
• Demonstrate trustworthy and effective time management, maintaining clear visibility of your caseload and proactively communicating progress, risks, and support needs without prompting.
• Maintain diligent records and collaborate with the Pod Lead to assist in reporting metrics to the MLCO and board of directors.