Onboarding & Periodic Review Assistant

4 weeks ago

Guernsey, United Kingdom Rothschild & Co Full time

About Us

As one of the world's largest independent financial advisory groups, we know that it takes a distinct perspective to make a meaningful difference to our clients’ business and wealth.

Rothschild & Co is a global and family-controlled group. We provide M&A, strategy and financing advice, as well as investment and wealth management solutions to large institutions, families, individuals and governments, worldwide.

Having been at the centre of the world's financial markets for more than 200 years we can rely on an unrivalled global network of more than 3,800 talented employees and a track-record of outstanding execution with 60 offices around the world.

Our integrated global network of trusted professionals and decision makers around the world provide in-depth market intelligence, meaning we can be closer to current issues than any other global financial institution in our core markets.

It is this scale, local knowledge and intellectual capital that allow us to provide a distinct perspective and effective long-term solutions for our partners.

Rothschild & Co Wealth Management

Within Wealth Management we offer an objective long-term perspective on investing, structuring and safeguarding assets, to preserve and grow our clients’ wealth.

We provide a comprehensive range of private wealth services to some of the world’s wealthiest and most successful families, entrepreneurs, foundations and charities. In an environment where short-term thinking often dominates, our long-term perspective sets us apart. We believe preservation-first is the right approach to managing wealth.

Overview of Role

The role involves daily contact with Front Office teams in order to facilitate account openings and deliver ongoing monitoring of client relationships via Periodic KYC reviews and trigger events, including AML and adverse media screening of clients.

Key responsibilities
- Review and approval of clients’ documentation and source of wealth information and evidence
- Responsible for managing the onboarding workflow for all accounts where they are the lead reviewer
- Responsible for the coordination and approval of systems set up
- Monitor automated SWIFT message sanction screening

Elements of the onboarding process
- Initial risk assessment of new clients to determine whether they should be escalated to the Compliance team for review
- Review of all client documentation including legal documentation, source of wealth evidence and client due diligence
- Preparing client profiles and summaries of source of wealth
- Review PEP / sanction checks and media searches to identify potential high-risk factors
- Reviewing the FATCA and CRS documentation provided by the client
- Presenting new accounts for consideration by the Business Acceptance Committee
- Ensuring we have all necessary data related to the client

Elements of the review process
- Reviewing the due diligence of existing clients, highlighting deficiencies and requesting outstanding documentation from the Front Office who will liaise with the clients
- Conducting World Check and negative news searches to identify potential high-risk factors
- Ensuring that clear and complete accurate records are maintained to document the review process

Teamwork
- Raising any concerns or issues to senior team members or the Money Laundering Reporting Officer
- Assisting the wider team with central tasks, such as other regulatory projects
- Management and prioritisation of own workload

Key Competencies
- Aptitude for problem solving and an ability to identify efficiency gains
- Strong IT skills including Excel
- Diligent and high level of attention to detail even when working under pressure
- Excellent oral and written communication skills
- Strong organisational and time management skills
- Self-starter and team player
- Our goal is to have a balanced, inclusive and flexible environment which enables all colleagues to achieve their personal and professional aspirations, and to ensure that Rothschild & Co provides longer term opportunities for talent._

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