Client Onboarding Associate

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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  Full end-to-end preparation of client application packs for Compliance and Risk review. This requires a solid knowledge of applicable rules and regulations and of internal policies and procedures to collect the required client information and documentation.
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  Forensic review of client KYC documentation in conjunction with regulatory rules, requirements and internal polices of anti-money laundering, counter terrorist financing, know your client, client due diligence, sanctions, anti-bribery and corruption, fraud and tax evasion.
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  Conducting an AML Risk Assessment on each client based on findings throughout the review.
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  AML and adverse media screening of clients and their related parties on Refinitiv World Check One.
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  Reviewing PEP and Adverse Media hits to highlight the AML concerns and creating a report on each and providing mitigating factors.
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  Daily review of all screening alerts generated by Refinitiv World Check One.
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  Execution of give-up agreements for give-up clients using Futures Industry Association (“FIA”) Docs.
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  Liaising directly with clients and with front office staff to resolve account application questions and issues.
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  Ensuring the creation and maintenance of accurate client information and static data on internal systems.
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  Producing management information and ad-hoc reports for the Compliance department.

Assist with project work when required.

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  Other duties as assigned.

Experience & Skills Required:

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  Minimum of 1-2 years experience in Account Opening/Onboarding;
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  Familiarity of relevant industry rules and regulations.
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  Effective communication skills both written and verbal for assisting in client and internal requests.
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  Ability to work well under pressure.
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  Strong organisational and analytical skills essential.
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  Ability to be self-motivated, organised and to ensure work is completed in a timely manner with deadlines met.
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  Able to adapt to a fast-changing environment and changing priorities.
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  Good team player with a proactive attitude
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  General and good understanding of Microsoft Windows desktop operating system and basic PC skills.