Periodic Review Specialist

4 weeks ago

London, 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 Private 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.

The Periodic Review Team

The Periodic Review team is part of the wider Account Management Team which also incorporates the Account Opening and Client Data Management Teams, ultimately reporting into the COO.

The Periodic Review team is responsible for the timely and compliant review of all client accounts in line with AML regulatory requirements. The team reviews a wide range of account types including accounts for individuals, companies, trusts, pensions, charities and insurance wrappers. The team is responsible for the review and approval of all low and medium risk clients and will complete the review of high risk and PEP clients before escalating to Compliance for approval. The team is also responsible for reviewing the client static data held in the system and updating the data where necessary.

Overview of Role

We are looking to hire a Periodic Review Specialist who will report into the Periodic Review Team Leader. The role involves regular direct contact with the Front Office teams and Compliance in order to facilitate the reviews of client accounts.

Elements of the review process
- Review of all client documentation including client signed forms, source of wealth narrative and corroboration and broad client due diligence
- Review PEP / sanction checks and media searches to identify potential high-risk factors
- Risk assessment of client relationships to determine whether the risk rating should be changed, or they should be escalated to the Compliance team for review
- Communicating with the Front Office to explain the remediation requirements
- Updating client data in the system
- Ensuring that clear and complete records are maintained to document the review process
- Regular reporting to the Team Leader and senior management on the progress of the reviews

Teamwork
- Assisting the wider Account Management Team with central tasks, such as regulatory projects
- Management and prioritisation of own workload

Key Competencies
- In depth knowledge of regulatory CDD requirements, including corporate entities and trusts
- At least two years minimum experience of working within a periodic review and / or client onboarding team working in the financial services sector with a focus on the wealth management sub-sector being desirable
- Strong IT skills including Excel
- Diligent and high level of attention to detail
- 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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