Investment Onboarding Specialist

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 3^rd 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@------

NB! This job is now closed. You can apply for other jobs by uploading your CV.