Job description
The main purpose of the role is to manage onboarding activities for the RegCom business. In particular:
- Managing the process of onboarding new ARs and approved persons to G10 Capital and Sapia Partners, ensuring that agreed timescales are met, risks are identified, and records are up to date
- Developing deep relationships with the portfolio of ARs as appropriate and providing a good client experience during the onboarding process
- Ensuring work produced is subject to the appropriate QA review
- Following the procedures and processes as laid out in the Onboarding Guide
- Keeping all stakeholders including Sales Directors and the Compliance team updated with progress and issues as they arise
- Assisting with the delivery of the business plan for the Onboarding team and contributing to meeting team objectives
- Enhancing own understanding of regulatory landscape in particular KYC requirements, and taking learning opportunities that are offered
- Adhering to all company and IQ-EQ Group policies and procedures
Key competencies
- Can-do mentality and client focus
- Awareness of risk management and risk control
- Appropriate use of the proprietary onboarding software, MaxComply
- Teamwork
- Relationship building with internal and external stakeholders
- Integrity and honesty