SKILLS AND EXPERIENCE

• 3 plus years experience* leading onboarding/KYC/periodic review teams
• Knowledge of KYC and risk assessment engine
• Self-starting; takes initiative and ownership
• Strong prioritisation skills; able to manage to time critical deliverables
• Analytical skills
• Problem solving skills
• Organisation skills
• Management information and reporting skills
• Experience and knowledge onboarding Middle Eastern clients
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

ROLE SUMMARY

We’re looking for a Supervisor to lead the Abu Dhabi Onboarding and KYC process Team. They will be responsible for carrying out the Onboarding function and ensuring that customers across business divisions are on-boarded efficiently and in accordance with Group policies and procedures.
The Client Onboarding and Periodic Review Department is responsible for conducting the process of identifying and verifying new customers and performing ongoing reviews for existing customers. The team plays a key role in combatting financial crime and terrorist financing.

RESPONSIBILITIES

• Lead the Abu Dhabi London Onboarding and Quality Control teams:
• Be the primary point of contact for onboarding related matters in Abu Dhabi
• Manage & prioritise the customer pipeline on a weekly basis with the business
• Coach, train and support the local team, including performance management and upskilling
• Perform Quality Assurance on Low and Medium risk approvals
• Produce and monitor Onboarding and Management Information
• Ensure that appropriate CDD / KYC and AML checks are carried out on clients in accordance with group and local regulatory requirements, in conjunction with the Financial Crime teams
• Ensure that appropriate customer classifications are carried out in accordance with local regulatory requirements
• Ensure that appropriate client documentation is captured for all clients and in accordance with local regulatory and any exchange requirements
• Ensure that the integrity of the static data inputted by the on-boarding team into the Client Data Base (Neon Onboarding and PeopleSoft)
• Provide constructive feedback to On-boarding analysts and provide guidance where required to address any knowledge gaps
• Help instil best practices and consistency from Analysts in document submission to create a consistent model for document submission, naming and annotating
• Work closely with Head of Onboarding EMEA and Head of Periodic Review to ensure onboarding and periodic review process is robust and effective, suggestion enhancement as and when necessary
• Ensure that procedures, including local addendums are kept up to date in line with Onboarding Standards
• Assist with Development and implementation of Global Onboarding platform (Neon), catering for Abu Dhabi needs and requirements
• Assist with implementation of changes within the department (regulatory and operational) and always endavour to streamline processes and procedures for a best in practice client experience
• Assist on any other ad-hoc reviews/projects/audits that the Onboarding department is required to carry out
• To work closely with the Financial Crime team
• Keeping management timely informed of issues/developments
• Perform Quality Control reviews as and when required and approve the customers across business divisions being on-boarded are in accordance with Group KYC and AML policies and procedures.
• Ensuring compliance with the company’s regulatory requirements under the FCA, NFA, FINRA AMF, MAS, SFC, ASIC, DFSA, FSRA.
• Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
• Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
• At all times complying with Marex’s Code of Conduct
• To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility
• To report any breaches of policy to Compliance and/ or your supervisor as required
• To escalate risk events immediately
• To provide input to risk management processes, as required.