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Stockbroking Account Opening / KYC / AML – 12 month contract

Written by Anton Murray Consulting on .

Location: Sydney

Salary description: Circa $60-75k base + super

  • $50-100k AUD Equivalent
  • Contract or Temporary
  • 3 to 7 years of experience

Our client is a leading global stockbroking firm with offices around Australia. Working within their operations team, the primary function is to assist in the onboarding of new client accounts on to their wealth management platform as well manage general operations tasks for the maintenance of Australian accounts.

The successful candidate will work closely with Risk Managers, Advisers, Dealers Assistants, Legal and Compliance, global Operations teams.

The successful candidate will ideally have a background in operations and/or client services from a wealth management or broking environment.

Responsibilities:

  • Conduct proper due diligence in opening of new accounts
  • Highlight or flag any high risk accounts to AML/Compliance and Business manager for further review and discussion; conduct Enhanced Due Diligence where necessary
  • Review and approve the opening of sub accounts
  • Follow up with Sales team on missing/incorrect documentation
  • Review and approve change requests for existing accounts
  • Provide guidance to advisers and support staff on complex platform matters,  become the ‘Subject Matter Expert’ of the account opening process and operational functions of the platform
  • Review and Approve, where appropriate, higher risk payments (e.g. third party payments)
  • General administration tasks such as filing, scanning, and collecting mail
  • Flexibility is needed to provide support for the  team in areas such as project work, ad hoc administration and other duties as directed by management

Skills Required:

  • At least 2 years’ experience in the Australian or global securities markets, ideally with an operations and/or client services or onboarding background
  • Acute awareness of risk, with clear focus on control and timely escalation of risk items to management to minimise potential liabilities to the business
  • Strong service focus with the ability to build rapport at all levels
  • A proactive nature, challenging and questioning processes, seeking innovative solutions to improve efficiency and mitigate risk
  • Excellent teamwork skills, outgoing and motivated
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