TP ICAP

Client Onboarding Associate

TP ICAP

full-time

Posted on:

Location Type: Hybrid

Location: Louisville • Kentucky • New York • United States

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Salary

💰 $72,000 - $76,000 per year

About the role

  • Partnering with the client facing teams to collect required legal documents and associated information to meet all regulatory and internal polices
  • Support front office with onboarding new and existing clients
  • Act as the clients’ point of contact by addressing their issues and concerns and providing resolutions to their onboarding queries in line with our internal policies, the regulatory environment and market practices
  • Manage the client onboarding process including:
  • Prepare and submit Client Due Diligence files (KYC)
  • Ensure accuracy of the information
  • Gather and research information on clients to enrich requests
  • Analyze and determine account documentation required based upon counterparty type and products traded
  • Undertake quality review of clients’ KYC records
  • Act as a KYC and AML subject matter expert
  • Organize the planning for periodic documentation refreshes, based on vetting expiry dates
  • Liaise with business owners to confirm the client activity and confirm the need for renewing onboarding status or refer for offboarding
  • Update CDD forms and collect documentation for periodic reviews per the mandated timeline or as necessary based on changes that would trigger an event driven review
  • Discuss and escalate with Compliance complex issues surrounding client types and structures, financial products and services, and other AML risk-related issues
  • Contribute to the continuous process improvement efforts and ensuring there are written and updated procedures

Requirements

  • 2-5 years’ experience in financial services, operation or compliance fields
  • Client Onboarding and/or documentation analysis experience preferred
  • Strong analytical, prioritization and organizational skills
  • Wide knowledge of financial products including SEF
  • Strong knowledge of Excel and all Microsoft Office suites
  • College degree preferred
  • Strong risk and controls awareness
  • Prior experience in AML/ KYC is preferred
Benefits
  • Health insurance
  • Flexible work arrangements
  • Professional development opportunities
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
KYCAMLClient Due Diligencedocumentation analysisfinancial productsregulatory complianceprocess improvementdata analysisrisk managementquality review
Soft Skills
analytical skillsorganizational skillsprioritization skillscommunication skillsproblem-solving skillsclient relationship managementattention to detailteam collaborationescalation managementadaptability