Process and Quality

Roles & Responsibilities

Your role:

Are you passionate about Wealth Management and excited to make a significant impact in the world of KYC & AML? We are on the lookout for a dynamic and detail-oriented Desk PQS (Process and Quality Specialist) to join our Front Office team In this role, you will play a crucial part in periodic monitoring, identifying and remediating risk at Desk and Employee level to ensure compliance of our client onboarding processes, with a particular focus on Source of Wealth (SOW) and its corroboration. The role also gives an opportunity to strengthen the market management structure focusing on optimal contribution in context to training and awareness for all front staff and contributing to a continuous learning organization. If you have a keen eye for detail, a strong understanding of regulatory requirements, and a drive to excel in a fast-paced environment, we want to hear from you Join us and be a part of a team that values excellence, innovation, and collaboration.

Key Responsibilities and Requirements

• Subject Matter Expertise:

• Be the KYC subject matter expert and specialized practitioner for Client Advisor (CA) and Market Team Head (MTH) queries on complex cases

• Act as sparring partner to PQS Coordinator for selected market-level tasks and/or topics

• Regulatory Compliance:

• Stay current with regulatory changes and requirements around client KYC

• Operational Excellence:

• Own the end-to-end operational KYC activities (including periodic reviews and client onboarding) and validate to ensure that all documentation provided are of the highest quality

• Act as interface between functional units and the desk.

• Pre-checks, alerts and deficiencies remediation with the MTH&CA

• Support the tracking and analysis of operational incidents and implementation of adequate measures

• Team Support:

• Support team members to clear periodic reviews and onboarding volumes.

• Relationship Management:

• Maintain credibility and good relationships with client advisors and market team heads for collaborative outcomes

• Process Improvement:

• Actively participate in initiatives that streamline and improve KYC processes, provide feedback, ideas, and comments to Team Lead to improve and drive processes towards further efficiency

• Influence and Innovation:

• Contribute and play a part in shaping the future of KYC processes and be a change influencer

• Actively participate in ideations and initiatives that streamline and improve the future of PQS processes and KYC/ AML checks

• Identify and propose process improvements, establish a sound risk & efficiency culture within the desk

Your team:

You'll be part of the Process and Quality Specialist (PQS) function embedded within the Front Office, working closely with Client Advisors (CAs) and Market Team Heads (MTHs). The PQS team plays a vital role in ensuring compliant and efficient client lifecycle management, with a strong focus on KYC and AML standards.

Your expertise:

We are looking for a highly motivated team player with the following qualities and skills:

• Excellent communication and coordination skills

• Strong knowledge and experience in front staff processes, risk management tasks and tools

• Experience within the Wealth Management environment, e.g. in a front (CA, CAM), process, risk, compliance, audit or business management function for at least 3 years

• Strong analytical and conceptual skills and ability to understand complex front and operational procedures and processes

• Strong service culture ideally combined with hands-on experience in arranging easy to understand training material and good presentation skills

• Proactive and self-dependent working style, self-starter with a sense of initiative who demonstrates drive and commitment and the ability to motivate others

Tell employers what skills you have

Wealth Management
Front Office
Remediation
Operational Excellence
Regulatory Compliance
Process Improvement
Arranging
Relationship Management
Wealth
Risk Management
Team Lead
AML
Presentation Skills
Regulatory Requirements
KYC

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