Client Onboarding Associate
Current- Completing daily US & Canadian Tax Checks, ensuring the correct documentation and tax forms (W-8BEN, W-8BEN-E and NR301) are in place for those accounts investing in Canadian or US stocks.- Overseeing and conducting Appropriateness test assessments for Execution Only (EO) customers who wish to invest in ‘complex’ investment products.- Ensuring that for all new customer accounts and any repapered accounts: the correct application form has been correctly completed; the correct supporting documentation has been provided; all the relevant KYC information has been gathered; the customers identity and address has been verified in compliance with Anti-Money Laundering (AML) law, regulation and guidance and sufficient due diligence checks are carried out, including Customer Screening and Customer Risk Assessment.- Conducting AML based file reviews and providing feedback and guidance to Investment Managers as required.- Completing Enhanced Due Diligence for high risk clients (PEPs, RCAs, etc) - Escalating any potential risks identified to the Head of Suitability and Client Onboarding.- 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 recipients of any approved third party payment requests.- Answering ad-hoc Client Onboarding queries from Investment Managers/their assistants and providing ongoing advice, guidance and training for Investment Managers/their assistants.
