Under moderate direction, onboards clients, opens and closes accounts and handles transitions and conversions to the system.
Analyzes, reconciles and reviews incoming or outgoing data for accurate transition to platform.
Obtains and reviews the appropriate documentation and reference data, and ensures regulatory aspects of AML and KYC are completed prior to opening accounts.
Prepares clients for entering new accounts by explaining and articulating the level of documentation required, regulations, complexities in the market and market expectations.
Works directly with clients to open new accounts once due diligence on KYC and AML has been completed and works with client and internal parties around asset events.
Closes off accounts by first checking for any pending activity or balances remaining in the account.
Works directly with clients to access documentation requirements and reference data, and may be responsible for onsite client support and training to assist with documentation, quality review and submission of documents.
Ensures application form is received and tax documentation is received from the investor. Leads project management activities for onboarding / transitions / conversions such as reporting, planning, issue / risk tracking, scheduling, effort estimation and tracking, and other project documentation preparation.
Ensures client receives all necessary training or conducts the training him / herself. Communicates progress to team and escalate issues or potential project delays.
Supports conversion activities related to a mix of complex institutional client relationships requiring an in-depth understanding of custody and accounting processing activities.
Completes an accurate conversion of data on financial statements for daily, weekly, or monthly valuation clients. Support and review control reports to effectively mitigate risks and resolve problems that arise during the conversion process.
Assists with coordinating firm-wide resources (product, technology, marketing, compliance, teams, etc.) to ensure client needs are being addressed.
Ensures onboarding / transition / conversion activities meet all compliance, legal and regulatory requirements. May participate in UAT, on boarding and fault resolution.
Responsible for overall success of less complex or small transitions, ensuring client satisfaction through the monitoring of project quality and efficiency as well as the direct client experience.
Guides the client in appropriate platform applications and structure of their program / product offering.
No direct reports. Provides guidance to less experienced colleagues as needed. Allocates work to and monitors the work quality of others assigned to the client.
May have people management responsibilities in some geographies.
Responsible for standard clients and contributes to the achievement of team objectives.
Bachelors degree or the equivalent combination of education and experience is required. Advanced / graduate degree preferred.
3-5 years of total work experience preferred. Experience in securities, financial services or client-facing or project management roles preferred.
Applicable local / regional licenses or certifications as required by the business