We are partnering with a well know, London investment firm, who are expanding their client services team. They are looking for candidates with strong background in customer service as well as knowledge of KYC & AML regulations. Candidates form retail banking or adjoining sectors would be ideal. Please see below the responsibilities & requirements -
Responsibilities:
• Processing new client applications;
• Undertaking AML and KYC checks in line with the company’s policy and legal requirements;
• Completing risk assessments on new clients and following escalation procedures for high risk clients;
• Where necessary, requesting additional information regarding client applications via email;
• Handling incoming enquiries regarding client applications via email and telephone, to a high quality in line with target response times;
• Completing audits on processed applications to ensure we maintain a high quality of data;
• Producing and sending acknowledgement letters and cancellation notices to successful applicants;
• Updating and maintaining the internal CRM system;
• Producing adviser fee payment schedules;
• Producing and sending adviser commission statements;
• Producing and sending investment documents;
• Quality checking documents and letters to maintain a high level of accuracy and avoid human error;
• Updating our internal records with fund movements and logging new applications;
• Reporting daily fundraising figures to the wider business;
• Liaising with the Finance, Compliance, and Sales teams daily;
• Regularly liaising with 3rd parties such as the Receiving Agent and the Registrar to discuss applications and fund allotments;
• Completing general admin tasks;
• Handling client complaints in line with the FCA guidance and regulations and raising escalations with senior members of the team and management;
• Attending regular product, fund, and compliance training;
• Actively engage with and support the DE&I agenda;
• Thorough knowledge of and compliance with the company’s procedures and standards;
• Contribute, or otherwise assist, as required;
What we are looking for:
• Excellent communication skills, both written, and verbal;
• Exceptional attention to detail;
• Ability to plan, organize, and prioritise workload and work effectively under pressure;
• Seeks opportunities and works collaboratively with others to drive improvement;
• Takes responsibility for own personal development and helps others to achieve their potential;
• Basic knowledge and understanding of retail investment products and AML procedures (preferable);
• Minimum 1-2 years’ work experience;
• Strong Microsoft Word and Excel skills;
• Excellent telephone manner.
This is a permanent role that offers one day of remote working per week.