Client Onboarding - Investment Advisors/Funds Group

Job Summary
Support the team manager in all client onboarding activities for Investment Advisors and Funds. Prepare KYC documentation and perform client due diligence, including FinCEN and Enhanced Due Diligence requirements. Conduct OFAC and negative news screenings to assess client risk and regulatory exposure. Review regulatory information, including Dodd-Frank requirements, and determine completeness and accuracy. Coordinate with Front Office, clients, and internal teams (Legal, Compliance, Operations) to collect documentation and ensure timely account opening.

Key Responsibilities

• Compose KYC packages and perform due diligence on new clients based on risk rating including FinCen requirements and Enhanced Due Diligence without immediate direction or supervision.
• Conduct OFAC and Negative News searches on clients and related parties to identify and assess potential risk to the firm.
• Ability to determine and review Dodd Frank regulatory information provided by the client and determine if sufficient based on regulation.
• Evaluate an Investment Advisor's organization structure as well as determine when full KYC Onboarding is required versus streamlined KYC Onboarding is required.
• Ensure client packages adhere to internal audit requirements through the judgement made from understanding of global policies.
• Liaise with Front Office and clients directly to collect and evaluate the efficiency of all documentation required to adhere to both AML and regulatory requirements.
• Liaise with internal groups such as Legal, Compliance, Sanctions, Regulatory, Tax and Operations to coordinate the efforts of all teams and ensure that accounts are opened in a timely manner.
• Familiarity with and strong grasp of Investment Advisor Public Disclosure and Edgar sites, along with necessary documentation (ie: RIA, QIB, 2111, AML Wolfsberg Questionnaire, Accelerated Onboarding Sheets & 151 Prime Broker Agreements).
• Recommend and assist in requirements for efficiencies where needed.
• Prioritize onboarding cases to ensure completion prior to deadlines.
• Determine industry codes (for example SIC/Sector Codes).

Skills and Competencies:

• Bachelor's degree or equivalent.
• Strong attention to detail and analytical skills. Appropriate and confidential handling of client data.
• Excellent communication skills.
• Ability to work without immediate direction and supervision and effectively manage and report on progress of requests.

Dexian stands at the forefront of Talent + Technology solutions with a presence spanning more than 70 locations worldwide and a team exceeding 10,000 professionals. As one of the largest technology and professional staffing companies and one of the largest minority-owned staffing companies in the United States, Dexian combines over 30 years of industry expertise with cutting-edge technologies to deliver comprehensive global services and support.

Dexian connects the right talent and the right technology with the right organizations to deliver trajectory-changing results that help everyone achieve their ambitions and goals.To learn more, please visit https://dexian.com/.

Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.