Our client is a global tier-one equity broker seeking an account services/ client onboarding / KYC candidate to join their Sydney team.

The ideal candidate will have wealth management/ retail broking client onboarding/ KYC / AML experience. 

Responsibilities:

• Review and approve client account documentation; understand and enforce current UK requirements, ensuring proper due diligence to KYC rules for new client onboarding and updates to existing client static data
• Become the ‘Subject Matter Expert’ of the account opening process and operational functions of the platform
• Proactively escalate issues to Management / Risk / Compliance / GFC/AML  / Front Office staff in a timely manner to minimise potential liabilities to the business; work collaboratively with the relevant teams for resolution
• Answer queries on all aspects of the platform and processes, provide guidance to advisers and support staff on complex platform matters
• Participate and facilitate cross training as required, with particular focus on driving the  training agenda for front office staff

Experience:

• At least 3 years’ experience in the Australian and global securities markets, ideally with an operations and/or client service background
• Understanding of global AML/KYC standards, in particular Australian and UK requirements
• Prior retail broking client service, client onboarding experience
• Excellent attention to detail
• Acute awareness of risk, with clear focus on control and timely escalation
• A proactive nature, challenging and questioning process, seeking innovative solutions to improve efficiency and mitigate risk
• Excellent verbal and written English communication skills
• Effective organisational skills; ability to work under pressure