Investment Onboarding Specialist

 

Recruiter:

Glasshouse Recruiting

Job Ref:

CPT000092/Sam

Date posted:

Monday, September 20, 2021

Location:

Capetown, South Africa


SUMMARY:


Investment Company in  Cape Town, Southern Suburbs has an opportunity available for an Investment Onboarding Specialist

Purpose of the position:

  • Gather sufficient information to be able to pro-actively have knowledge around compliance requirements, especially around entities, company set up, political connections, etc. is paramount
  • Regulatory requirements are increasingly onerous and specialised, this particularly relates to determining the ultimate beneficial owner, risk rating, FATCA and CRS
  • All of the info, not only onboarding correctly, but also to comply with FICA and thus the RMCP
  • Need to report on foreign investing etc, ie. CRS and FATCA


POSITION INFO:


Responsibilities:

  • Onboarding of entities
  • This is to take on the complete onboarding process
  • This is for the company’s Investment Service
  • Instrumental in the onboarding of individuals, this means validation once a ticket is locked
  • Comply and adhere to the company’s risk management and compliance program, for all new and existing clients via Docfox for Local and Foreign Individual clients
  • Working closely with Compliance and Development team to set up rules and requirements for validation checks via Docfox for all Legal Entities
  • Ensuring that all clients and related 3rd parties of the client are FICA compliant as each FSP and account type has its own specific requirements
  • The onboarding Specialists team needs to ensure all FICA requirements have been met before the client can enter into a relationship with a specific FSP
  • Working closely with Compliance team to set up pa FICA matrix for all FSP’s across the business
  • Responsible for drafting and documenting and especially maintaining the FICA matrix
  • Responsible for training and assisting all Advisors and Assistants with all onboarding requirements and drafting and documenting all onboarding requirements training manuals

Qualification and Experience Required:

  • Preferably a CFP or Degree in Finance, Commerce, Financial Planning or Economics
  • 4+ years experience working in Compliance or Financial Industry
  • Experience in delivering exceptional customer service
  • Solid understanding of onboarding processes within an Investment Business
  • Solid relationship-building skills
  • Exceptional LISP / Investment Platform Industry knowledge
  • Solid knowledge and experience of the Regulatory environment, especially KYC, specialising in FICA requirements
  • Understanding of legal structures, especially different entities
  • In-depth knowledge of and compliance / regulatory needs

 

Salary is negotiable depending on experience


Please forward CVs to sam@------




 

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