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Senior KYC Onboarding Executive

  • Permanent

Job Title: Senior KYC Onboarding Executive

Location: London

Salary: £42,000

Role Overview: William Rose Associates is working alongside a highly regarded wealth management firm based in London which is looking for a Senior Client Services Executive to join the firm.

ESSENTIAL SKILLS | 

  1. Strong numerical and analytical skills with keen attention to detail
  2. Minimum of three years’ experience in client onboarding within the wealth management industry
  3. Ability to assertively and proactively build and maintain relationships across the company
  4. Excellent interpersonal skills, with exceptional written and verbal communication abilities
  5. Team player with experience in collaborative environments, able to assist others when needed
  6. Effective time management skills for planning workload and prioritizing tasks
  7. Tactful, trustworthy, diplomatic, and able to maintain confidentiality
  8. Commitment to continuous learning, development, and implementation of processes and procedures
  9. Focus on personal development to enhance effectiveness and growth within the company
  10. Values that align with the firm's culture

DESIRABLE SKILLS |

  1. Experience with onshore & offshore providers, SIPPs, personal pensions, ISAs, investment accounts, investment bonds, and wrapper providers
  2. Knowledge of KYC and AML guidelines, including risk assessment for sanctions, negative press, and PEPs
  3. Experience with CRM systems and Platform Service Providers

OVERVIEW | 

  1. Conduct KYC and AML checks for new clients during onboarding
  2. Review application documents to ensure AML documentation is correctly obtained and certified, and source of wealth/funds narratives are explained and verified; escalate higher risk/PEP cases as needed
  3. Perform quality assurance and 4-eye checks on all new accounts
  4. Liaise with Relationship Managers and Wealth Associates to address any remediation needs
  5. Confirm KYC requirements and account opening needs for new custodians
  6. Oversee client onboarding processes, including KYC, AML, servicing requirements, and account openings
  7. Train new employees and provide guidance to junior team members
  8. Update and maintain client records in CRM systems and Platform Service Providers
  9. Approve requests from Platform Service Providers, such as payment requests, new account openings, and amendments
  10. Participate in ad-hoc team projects, working groups, and re-papering exercises
  11. Assist in the creation, documentation, and updating of departmental procedures

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William Rose Associates
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