Manage the central onboarding process and deliver services aligned with the firm’s strategic priorities and proactively make improvements to the gatekeeping function.
Develop, motivate and line manage the central onboarding team.
Allocate and delegate work within the team to ensure that the client and matter onboarding process is delivered effectively and in accordance with the firm’s Policies, Controls and Procedures (PCPs).
Perform Quality Assurance checks and approval of client and matter onboarding compliance checks.
Draft escalation reports in accordance with the firm’s (PCPs).
Manage the shared compliance inbox and ensure that requests are acknowledged and dealt with in a timely manner.
Assist the MLRO in dealing with compliance queries.
Maintain and monitor Central Registers and provide regular management information reports to the HoC.
Deliver training and support to the central onboarding team, provide guidance to the legal teams and other business support teams on internal processes and procedures.
Manage third party accounts (including compliance ID&V screening tools).
Administer events in the annual compliance calendar.
Coordinate projects and assist the HoC in managing cross functional improvements within the business.
This job description is not exhaustive, and the job holder may be required to undertake additional duties from time to time to ensure the smooth running of the department. |