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Dexian · 1 day ago

Client Onboarding – Investment Advisors/Funds Group

New York, NY

Full-time

Onsite

Mid Level

$80K/yr - $100K/yr

Dexian is a leading technology and professional staffing company with a global presence. The role involves supporting client onboarding activities for Investment Advisors and Funds, including preparing KYC documentation and conducting due diligence to ensure compliance with regulatory requirements.

ConsultingHuman ResourcesInformation TechnologyProfessional ServicesStaffing Agency

Responsibilities

Compose KYC packages and perform due diligence on new clients based on risk rating including FinCen requirements and Enhanced Due Diligence without immediate direction or supervision

Conduct OFAC and Negative News searches on clients and related parties to identify and assess potential risk to the firm

Ability to determine and review Dodd Frank regulatory information provided by the client and determine if sufficient based on regulation

Evaluate an Investment Advisor's organization structure as well as determine when full KYC Onboarding is required versus streamlined KYC Onboarding is required

Ensure client packages adhere to internal audit requirements through the judgement made from understanding of global policies

Liaise with Front Office and clients directly to collect and evaluate the efficiency of all documentation required to adhere to both AML and regulatory requirements

Liaise with internal groups such as Legal, Compliance, Sanctions, Regulatory, Tax and Operations to coordinate the efforts of all teams and ensure that accounts are opened in a timely manner

Familiarity with and strong grasp of Investment Advisor Public Disclosure and Edgar sites, along with necessary documentation (ie: RIA, QIB, 2111, AML Wolfsberg Questionnaire, Accelerated Onboarding Sheets & 151 Prime Broker Agreements)

Recommend and assist in requirements for efficiencies where needed

Prioritize onboarding cases to ensure completion prior to deadlines

Determine industry codes (for example SIC/Sector Codes)

Qualification

KYC documentationClient due diligenceRegulatory complianceOFAC screeningInvestment Advisor knowledgeAnalytical skillsSelf-managementAttention to detailCommunication skills