Onboarding Document Management
An excellent opportunity has arisen for an experienced Compliance professional, to join the Wealth division of a top tier investment bank. With a focus on document management, you will be the main point of contact for account opening and maintenance queries.
Key Responsibilities will include: checking and approving account documentation ensuring it complies with all regulatory guidelines, completing daily/ weekly document risk control checks, hosting training sessions to ensure document maintenance processes are understood and adhered to and producing Management Information (MI).
The successful candidate should have knowledge/ understanding of the following:
We are looking for someone that has experience of checking the constitutional documents that govern the entity types mentioned, e.g. Memorandum Articles, certificates of incorporation, certificates of incumbency, register of directors, share certificates, board/trustee resolutions and partnership/foundation agreements.
Current regulatory environment and risk and control governance frameworks
Onboarding (checking and approving) structures such as companies, pensions, trusts, offshore bonds, partnerships and charities
The concept of complex beneficial ownership structures and the document types that are required to evidence them
Process of checking constitutional documents that govern entity types
It would be beneficial if you also have experience of checking documents for entities that are not based in the UK.
For more information apply today. This is an urgent requirement and interviews are available immediately.
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