Suitability and Client Onboarding Associate
2 days ago
This is a new Suitability and Client Onboarding Associate position working for a Financial Services business in the City of London. The Suitability and Client Onboarding Associate will work as part of the 1LoD team offering assurance to the firm. **Client Details** The client is an Investment and Advisory firm based in the City of London. They are looking for a Suitability and Client Onboarding Associate to join the team on a permanent basis offering hybrid working. **Description** - Overseeing and conducting Appropriateness test assessments for Execution Only (EO) customers who wish to invest in 'complex' investment products - Overseeing Client Categorisation requests to ensure compliance with the Handbook Rules - Conducting due diligence on third party authorities to a customer account, other third parties as required by policies and procedures on sponsorships and donations, third party intermediaries, procurement, agent as client relationships and the recipientsof any approved third party payment requests - Reviewing and providing guidance on Investment Mandate Letters, checking that Suitability has been adequately evidenced at the outset - Portfolio Risk Monitoring. Monitoring and managing Variances relating to Portfolio Risk, Risk Profiler Questionnaires, Asset Class Allocation, Concentration Risk, High Commission and Turnover, Poor Performance, High Risk Holdings, Client Forms Required,overdue Client Suitability Reviews and Investment Mandate Letters; assessing the validity of exemptions - Answering ad-hoc Suitability and Client Onboarding queries from Investment Managers/their assistants and providing ongoing advice, guidance and training for Investment Managers/their assistants - Reviewing and providing guidance on annual Client Suitability Reviews (CSRs), checking that Suitability has been adequately evidenced during periodic reviews - Conducting Suitability and AML file reviews and providing feedback and guidance to Investment Managers as required - Acting as an independent 'Market Soundings Desk' for the Firm through which all "soundings" must be initially routed when corporate houses are looking to ascertain interest in any proposed corporate action such as a placing. This involves the careful managementof price sensitive inside information - Overseeing and managing all documentation and policies, procedures and processes relating to all areas in which the department operates - Escalating any potential risks identified to the Head of Suitability and Client Onboarding - Collating management information (MI) for Management and/or Board meetings - Keeping up to date on changes and developments within the industry **Profile** - Will come from a Suitability and Client Onboarding background - Will be able to travel to the City of London 3 days per week - Will come from an Investment/Wealth management firm **Job Offer
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Client Onboarding Associate
2 days ago
London, United Kingdom RJ O'Brien Full time**Job Title**:Client Onboarding Associate **Business Unit**:Account Opening Team **Location**:London **Reports To**: Manager, Client Onboarding **Position Summary**: To on-board both to the books of R.J. O’Brien Limited and R.J. O’Brien France S.A.S, as required. **Duties and Responsibilities**: Responsibilities include, but are not limited to: -...
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Client Onboarding Associate
1 week ago
London, Greater London, United Kingdom OakNorth Full timeSince 2015, we've empowered entrepreneurs with over £13 bn in funding, fuelling the creation of 56,000+ jobs and 34,000+ new homes across the UK and US. At OakNorth, we're on a mission to help ambitious businesses thrive—and our Client Onboarding team is at the heart of that journey.This is more than just another job at a bank. It's a unique opportunity...
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Client Onboarding Associate
1 week ago
London, Greater London, United Kingdom OakNorth Full timeSince 2015, we've empowered entrepreneurs with over £13 bn in funding, fuelling the creation of 56,000+ jobs and 34,000+ new homes across the UK and US. At OakNorth, we're on a mission to help ambitious businesses thrive—and our Client Onboarding team is at the heart of that journey. This is more than just another job at a bank. It's a unique opportunity...
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Client Onboarding Associate
1 week ago
Greater London, United Kingdom OakNorth Analytical Intelligence Full timeSince 2015, we’ve empowered entrepreneurs with over £13 bn in funding, fuelling the creation of 56,000+ jobs and 34,000+ new homes across the UK and US. At OakNorth, we’re on a mission to help ambitious businesses thrive—and our Client Onboarding team is at the heart of that journey. This is more than just another job at a bank. It’s a unique...
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Client Onboarding
1 week ago
London, United Kingdom OakNorth Bank Full timeSince our launch in 2015, we’ve lent over £10bn to ambitious entrepreneurs up and down the UK. That’s led to the creation of over 40,000 new jobs and over 29,000 new homes - and we’re not about to stop there. We’re dedicated to helping trailblazing businesses thrive and our Client Onboarding are integral to our growth. This is a fantastic...
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Client Onboarding Senior Associate
2 weeks ago
London, United Kingdom JPMorganChase Full timeDescriptionLead the way in implementing state-of-the-art payment solutions for corporate and financial institutions. Join our team where innovation in payment and cash management solutions meets collaboration and excellence in every endeavor.As a Client Technical Onboarding Senior Associate in Payments you will be responsible for leading the technical...
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Senior Client Onboarding Officer
2 days ago
London, United Kingdom haysmacintyre Full timeTo provide support to the Business & AML Onboarding Team to ensure that the department provides a quality service in all respects. In this business crucial position, you will be responsible for day-to-day tasks relating to all aspects of the firm’s AML / KYC Client identification and set-up process. **Key responsibilities**: - Undertaking client due...
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Associate, End to End Client Onboarding
1 week ago
City Of London, United Kingdom MUFG Bank, Ltd Full timeAssociate, End to End Client Onboarding page is loaded## Associate, End to End Client Onboardinglocations: Londontime type: Full timeposted on: Posted 8 Days Agojob requisition id: 10073759-WDDiscover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 150,000...
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Emea Client Onboarding Management Associate
1 week ago
London, United Kingdom JPMorganChase Full time**JOB DESCRIPTION** If you are able to demonstrate leadership, identify areas of opportunity and implement new operating models - check this role! As a EMEA Client Onboarding Management Associate in EMEA Client Onboarding Management team, you will manage the end-to-end implementation of Institutional Client mandates. You will successfully collaborate across...
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Onboarding Associate
2 days ago
London, Greater London, United Kingdom Novata Full timeAbout NovataNovata is a public benefit corporation founded by a unique consortium of leading foundations and private-sector organizations, including the Ford Foundation, the Omidyar Network, S&P Global, and Hamilton Lane. Our mission is to empower the private markets to build a more inclusive and sustainable form of capitalism. We do this by providing...
