Rothstein Recruitment
Client Onboarding Specialist - Wealth Management
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Client Onboarding Specialist - Wealth Management
An exciting opportunity opens for a Client Onboarding Specialist to join a leading Private Bank. You will work closely with Relationship Managers and CSE Teams to play a key role in managing client onboarding and account opening. The successful candidate will gain exposure to high-net-worth and complex client structures, work within a collaborative and prestigious banking environment, developing their expertise across private banking, financial crime compliance and client lifecycle management.
Key Responsibilities:
- Primary point of contact for CSE Teams for account opening documents (AOD) and account openings of client relationship
- Assist CSE Teams in the creation of account opening packs to ensure completeness
- Perform a full review of the account opening documentation (AOD) to ensure is compliant with UK and specific Booking Centre requirements. A formal review will be referenced to reflect (i) the correct version of the document is signed, all the required fields have been completed and (ii) that the information provided is correct and consistent across all documents provided (identification documents, corporate documents etc.)
- Evaluate and understand complex structures with two or more intermediate levels of ownership (in particular Trust, Foundation, Charities and Domiciliary company accounts) to ensure account opening documentation proceeds in line with the legal entity and CDB regulations
- Liaise with internal stakeholders (WTP) and third party providers (SIPPs and Bonds administrators) to ensure a smooth onboarding process and account maintenance for wrappers accounts
- Ensure account opening submissions to Booking Centre is handled in a timely manner, in line with specific booking centre requirements
- Maintaining accurate and complete records of client onboarding data / documentation
- Undertake additional clarifications (with client facing teams or the Compliance Department) if required and assist in the escalation of potentially identified elevated AML risks, potential suspicion of money laundering, or unsuitable advice
- Primary point of contact for CSE Teams providing operational support for digital onboarding.
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Professional Qualifications and Education:
- Level 1 or 2 Wealth Management, AML, Compliance & Compliance Risk qualification (or equivalent) would be an advantage, however not mandatory
- 1 year experience in the financial services industry (onboarding department) is a plus
- Good understanding of Financial Crime and Suitability related topics
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Client Onboarding KYC AML CDD Client Due Diligence Account Opening Private Banking Wealth Management Documentation Review Financial Crime Regulatory Compliance Client Lifecycle Management Trust Structures Foundations Corporate Structures UBO Verification Client Services Banking Operations Investment Management Relationship Management
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