Overview

Under the direction of the Head of Global Client Services, the KYC / AML Manager is responsible for being the central point of contact for the client and business for onboarding. The KYC / AML Manager will ensure that they manage the progress of requests within NEX’s Client Onboarding tool and ensure smooth onboarding throughout the process in compliance with relevant Money Laundering Regulations and Regulatory Classification requirements in line with NEX Group Policies. The incumbent must be detail-oriented with the ability to multi-task, prioritise work assignments, communicate effectively with internal staff and clients, and complete assignments accurately and in a timely manner. Follow-through skills and time management are critical elements of this position.

KEY ACCOUNTABILITIES:

  • Manage a team of two analysts in the principle
  • Conduct CDD and Sanctions / Negative Media checks on new NEX client relationships in accordance with UK Money Laundering Regulations, JMLSG Guidance or other relevant Regulations as required, escalating any findings to the head of Client Onboarding
  • Classify customers in accordance with MIFID, FCA and other relevant Regulations as required
  • Building out of the teams onboarding procedures and control framework
  • Central point of contact for Client Onboarding for business and clients
  • Develop client relationships throughout the onboarding process by providing clients with a “One-Stop” shop service model
  • Identify and drive process / service improvement opportunities
  • Work with business stakeholders (CIT/COO) to create and manage the prioritisation of requests
  • Utilise internal systems for workflow management and data storage
  • Respond to queries regarding the status of specific requests
  • Monitor the status of requests against agreed performance thresholds and escalate requests that have exceeded agreed cycle time thresholds
  • Collect documents and information from clients / sales to fulfil the requirements of our Onboarding and regulatory processes
  • Facilitate the legal documentation process to completion across asset class
  • Build strong working relationships and liaise with internal and external dependents including Clients, Sales, Compliance, Credit, Legal and Operations
  • Facilitate account maintenance, change requests, deletion and mothballing as directed by the client or internal stakeholders
  • Provide assistance and support as required to the Head of Global Client Services to ensure the maintenance of KYC/AML standards and Policy compliance in NEX
  • To fulfil any additional / ad hoc duties as required to meet the needs of the business

PERSON SPECIFICATION:

SKILLS:

  • Strong organisational skills and ability to successfully manage multiple tasks
  • Strong analytical skills and detailed orientated
  • Ability to communicate and build strong relationships with Clients, Infrastructure and Front Office stakeholders
  • Proactive and good problem-solving skills
  • Ability to prioritise and meet deadlines
  • An effective and articulate communicator via email and telephone especially important when communicating requirements and managing Client / Business expectations
  • Client service oriented
  • Conscientious and self-motivated
  • Able to work independently but be proactive in a team environment

KNOWLEDGE:

  • Knowledge of the UK Money Laundering Regulations 2007, JMLSG Guidelines, MiFID, applicable FCA rules and sanction regimes
  • An understanding of the regulatory changes introduced by MIFID II, CFTC/Dodd Frank act relating to the introduction of SEF’s (Swap Execution facilities) and upcoming regulatory changes
  • Stong knowledge of MS Office products including Outlook, MS Word, PowerPoint and Excel

EXPERIENCE:

  • Experience in onboarding within Financial Services, ideally in wholesale Financial Markets or Investment Banking
  • Previous management experience is highly desirable

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