Client Due Diligence Specialist
2 days ago
We are seeking a highly skilled and experienced professional to join our team as a Client Due Diligence Specialist at EFG International. As a key member of our Fund Services department, you will play a critical role in ensuring the attainment, review, and completion of due diligence on investors and other connected parties.
Key Responsibilities- Due Diligence and Compliance: Be responsible for the attainment by EFG International, the subsequent review and in principle approval of all due diligence (in line with AML and CFT legislation) and tax transparency documentation and data (in accordance with FATCA and CRS obligations) on funds and related structures serviced by EFG International, together with their investors and shareholders;
- CDD Collation and Review: CDD is initially collated on each new entity at the take-on / establishment of the structure, and on investors at the point each becomes an investor. In addition, on-going reviews are undertaken on a risk-based periodicity;
- Regulatory Compliance: Attain the necessary CDD documentation and data to meet regulatory and EFG Group requirements, liaising with the client service teams and / or the client / investor directly as appropriate. Review the CDD documentation and data and prepare the appropriate checklists, satisfying yourself that all requirements have been met (or highlighting any discrepancies) before passing to an EFG International Director for review and approval: the file then requires final review and sign-off by the Director of Funds Governance;
- Client Relationships: Develop and maintain first-class professional relationships with each client / investor, ensuring that all written, verbal and face-to-face communications are handled in an appropriate professional, efficient and timely manner;
- Regulatory Reporting: Assist in the preparation of regulatory reporting for client entities;
- Compliance Monitoring: Assist in the ongoing monitoring of client entities preparing, for example, periodic reviews and compliance monitoring plans;
- AML and Sanctions Alerts: Assist with the investigation of AML and sanctions alerts, escalating where appropriate;
- Professional Development: Keep up-to-date with changes in regulatory requirements liaising with the Funds Governance function to identify and implement any resulting changes to requirements and procedures. Alerting the client-facing team managers as appropriate;
- Team Collaboration: Provide guidance and act as a point of referral for other members of the Fund Services department with regard to the attainment, review and completion of due diligence on investors and other connected parties, inclusive of obtaining tax transparency documentation. Liaise with the Funds' Governance function to obtain the approval of CDD checklists;
- Client Onboarding: Assist client managers and directors, and guide other team members, during the establishment / take-on of new clients, including setting up bespoke procedures, populating records etc.;
- Procedure Updates: Ensure procedures and checklists are updated as necessary;
- Departmental Objectives: Contribute to the attainment of the departmental generic objectives;
- Regulatory Compliance: Ensure all activities and services are delivered in compliance with EFG International policies and procedures. Where you believe it may be preferable to diversify from an established policy or procedure, raise this with a director and contribute to an assessment of whether such a diversification should be facilitated;
- Personal Development: Ensure compliance with regulatory requirements including, where appropriate, Companies (Jersey) Law 1991, Financial Services (Jersey) Law 1998, Limited Partnership (Jersey) Law 1994, The Proceeds of Crime (Jersey) Law 1999, Collective Investment Funds (Jersey) Law 1988, Taxation (International Tax Compliance) (Jersey) Regulations 2014, the Income tax (Approved International Agreements (Implementation) (United Kingdom and United States of America) Regulations, 2014, The Taxation (Implementation) (International Tax Compliance) (Common Reporting Standard) (Jersey) Regulations 2015 and ensuring personal Continued Professional Development (CPD) requirements are met;
- Ad Hoc Duties: Undertake other 'ad hoc' duties as required from time-to-time by the team manager.
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