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Senior Client Services Executive | Compliance

Oversee the investment team in a long-established wealth management firm, where they invest in their employees development and wellbeing, and offer a competitive benefits package that rewards hard work and length of service.

Working in a development-led working environment, you will be supported to enhance your skills and widen your experience whilst being provided with a structured career path.

In this rewarding role you will have overall responsibility of coordinating the take–on of new business, providing AML and operational support to the investment teams in Jersey and UK delegated Investment Managers. You will also manage the first line of defence file reviews, and where relevant escalate/report on regulatory and CDD risk analysis to the management team.

Responsibilities will include:

  • Supporting the client services team in ensuring new investment business and clients comply with JFSC requirements
  • Acting as point of contact between branches and overseeing the investment operations mailbox to ensure all items dealt with in a timely manner
  • Ensuring due diligence is completed on new accounts prior to sign off and opening of accounts
  • Assisting Fund Managers in the due diligence requirements and liaising with the MLCO and/or the clients in this connection if required
  • Ensuring the circulation of quarterly investment management fee charging schedule and submission of amendments and annual custody fee charging

Experience and skills required:

  • No professional qualifications required, however a compliance/AML background is desirable
  • Database experience and skills; with the ability to deal with data quickly and accurately and relate and compare data from difference sources, recognising trends, identifying key issues and securing relevant information
  • Ability to remain objective under pressure and continue to work productively in a focussed way
  • Ability to assimilate information quickly and learn on the job to develop expertise in own area and capably answer technical questions from clients and colleagues
  • Strong background in Jersey regulations, particularly AML and due diligence

If you’d like to find out more information about this opportunity, please call us on 01534 626777 or email jobs@rowlands.co.uk

We are an equal opportunity employer and value diversity at all times.

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Senior Client Services Executive | Compliance
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