CDD Support Analyst, Wealth Management

2 weeks ago

London, United Kingdom Rothschild & Co Full time

About Us
 

Rothschild & Co is a leading global financial services group with seven generations of family control and a history of over 200 years at the centre of the world's financial markets.

Our expertise, intellectual capital and global network enable us to provide a distinct perspective that makes a meaningful difference to our clients, communities and planet.

We have 4,200 talented specialists on the ground in over 40 countries around the world, enabling us to deliver a unique global perspective across four market-leading business divisions – Global Advisory, Wealth Management, Asset Management and Five Arrows.

As a family-controlled business built on relationships, we place a huge emphasis on our people and finding the right colleagues to take our business forward.

Rothschild & Co is committed to an inclusive and supportive environment where diversity and different perspectives are valued. We are focused on the attraction and recruitment, development and retention and progression of high calibre talent to ensure we and our clients benefit from the value of difference.

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 Client Account Management Team

The Client Account Management Team is responsible for the onboarding and on-going maintenance of client accounts. It forms part of the Infrastructure Team and ultimately reports into the COO.

The Client Due Diligence Support Analyst role, is a new role; supporting the Account Opening and Periodic Review Teams in processes relating to the client lifecycle such as changes in circumstances and on-going screening. The two teams currently, in addition to their core functions, undertake the review of changes to many of the most common account types including trusts, companies, personal accounts, SIPPs and Offshore bonds during the course of the client relationship and the identification of Politically Exposed Persons (PEPs), sanctioned individuals and parties exposed to adverse media or presenting reputational risks the business. 

At all times the teams are responsible for ensuring the Client Teams have followed regulatory requirements and internal procedures, to protect our clients against fraud.

Overview of Role

We are looking to hire a Client Due Diligence (CDD) Support Analyst to support the Account Opening and Periodic Review Teams by completing the review of client changes and on-going screening. The CDD Support Analyst will report into the Head of Client Account Management with a dotted reporting line into the Account Opening and Periodic Review Team Managers. The role involves daily direct contact with the Client teams and Compliance, to provide review feedback and escalate screening cases as applicable.

The candidate is expected to demonstrate good communication skills as they will be occasionally dealing with clients, as well as internal contacts. They should also show an ability to be creative when presented with a problem or error; the candidate should be able to generate ideas to improve current procedures and controls, in order to prevent future errors and to make processes more efficient.

The candidate should be able to demonstrate a strong understanding of the regulatory framework relevant to the role, whilst grasping the importance of a smooth and efficient service for the Client teams and end clients.

Key responsibilities

Review and approval of clients’ documentation relating to client changes (including changes of directors, trustees, jurisdictions and beneficial owners) and assessment of any risk factors associated with the change. Review and assessment of screening results generated on a daily basis and providing discounting rationale as appropriate and escalating cases to Compliance as required. Maintain accurate records to ensure a clear audit trail of all work completed

Day-to-day support and query resolution

Providing guidance to Client teams, regarding the required documentation appropriate for changes in client circumstances and structures. Helping to ensure that the Client teams are adhering to internal policies Providing an example to the client service executives and the wider Client teams, by showing strict controls and consistency with our policies, in order to prevent regulatory breaches and internal errors

Project work and static data amendments

Coordination and execution of project work, such as regulatory remedial exercises, process improvements, new systems Review of static data amendments to ensure compliance with regulatory obligations and internal policy. This could include a complete change of trustees, change of directors, or change in upward ownership etc.

Teamwork

Assisting the Client Account Management Team with central tasks, such as regulatory projects Management and prioritisation of own workload Assisting other team members with work volumes where needed Acting individually and in a team to be a key driver of change and improvement. Identifying potential improvements in processes and procedures which will help improve their effectiveness and efficiency.

Key Competencies

Experience of Client Due Diligence requirements in the financial services industry essential. Wealth Management experience is preferred Deep level of understanding of KYC and Client Due Diligence requirements Experience of data management and system-based workflows Aptitude for problem solving and an ability to identify efficiency gains 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 Strong Excel and Microsoft Office skills

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