Client Onboarding Analyst Job Description

Client Onboarding Analyst Job Description

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Client onboarding analyst provides expert advice to Client Business on complex account structures and KYC/AML cases the business is confronted with.

Client Onboarding Analyst Duties & Responsibilities

To write an effective client onboarding analyst job description, begin by listing detailed duties, responsibilities and expectations. We have included client onboarding analyst job description templates that you can modify and use.

Sample responsibilities for this position include:

Serve as the primary point of contact for internal clients with respect to client service on-boarding initiatives
Verify that all documentation received from the client comply with regulatory and compliance standards firm-wide AML guidelines
Working closely with the Anti-Money Laundering team within Client Onboarding in relation to the process of obtaining client KYC documentation to ensure adherence to all Compliance policies, procedures and regulatory obligations
Liaising with clients as necessary during the Onboarding process to gather KYC documentation, ensure the appropriate legal documentation is in place including reg reform information
Support the definition and agreement of project scope with internal and external stakeholders
Provide timely and accurate status updates to project manager for all assigned tasks
Analyze and document client’s current state operating model
Analyze and document gaps between client’s current state and NT’s standard service model
Prepare high-level and detailed business requirement documents to support process and technology development
Ensure gaps and requirements are communicated and well understood by operations and technology partners

Client Onboarding Analyst Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Client Onboarding Analyst

List any licenses or certifications required by the position: CAMS, KYC, AML, FPI, CFA, CSC, DDP, PMP, SWIFT, FP&A

Education for Client Onboarding Analyst

Typically a job would require a certain level of education.

Employers hiring for the client onboarding analyst job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Business, Graduate, Finance, Education, Economics, Project Management, Accounting, Financial Services, Management, Law

Skills for Client Onboarding Analyst

Desired skills for client onboarding analyst include:

KYC / CIP / AML rules and regulations
OFAC
Financial markets and products
LexisNexis and Factiva
Customer Identification Programs
International regulatory framework
Account and AML related regulations
Regulatory implications of different asset classes
Commercial real estate investment markets
Corporate structures and the impact they have on the KYC/AML processes

Desired experience for client onboarding analyst includes:

Prepare detailed test plans to document test scope, approach, schedule, roles and responsibilities This is especially critical for requirements that require coordination across multiple systems to fully test
Execute tests in the appropriate cycle and log defects as they occur
Complete Training and Release Notes
Technical experience or background preferred
Awareness of KYC/Mifid process & basic AML, beneficial
Working knowledge of the investment management middle office including core functions, processes and systems

Client Onboarding Analyst Examples

1

Client Onboarding Analyst Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of client onboarding analyst. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for client onboarding analyst
  • Management of escalations from Onboarding teams/business
  • Anticipate upcoming challenges to the team in relation to business demands
  • Encourage and lead staff initiatives to drive a 95% Quality Assurance pass rate for compliance with regulatory objectives
  • Keep informed of any changes to processes and procedures, regulatory change and encourage open dialogue within the team
  • Actively build and manage relationships with functional partners/stakeholders
  • Performance management for staff through regular discussions and feedback sessions
  • Create training plans for staff, identify knowledge gaps and support ongoing development of individuals
  • Assist QC Manager with recruitment through the review of candidate CVs and arranging / conducting interviews
  • Ensuring knowledge sharing to the wider group
  • Back office processing including settlement and documentation
Qualifications for client onboarding analyst
  • Proven ability to analyze and document business requirements to support the development of process and technology solutions
  • Demonstrated ability to quickly establish credibility and maintain strong relationships with internal and external stakeholders
  • Candidates without relevant experience are welcomed to apply
  • Ability to mobilise resources, navigate internal networks and negotiate at a senior level
  • Support the client onboarding function within the Client Data Management team
  • Analyze large data sets using pivot tables and pivot reporting
2

Client Onboarding Analyst Job Description

Job Description Example
Our innovative and growing company is hiring for a client onboarding analyst. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for client onboarding analyst
  • Able to work in a fast paced environment and deal with sudden changes in priorities
  • An excellent team worker, able to work in virtual global teams in a matrix organization
  • Able to work under pressure in an environment heavily influenced by immovable regulatory compliance deadlines
  • Escalate bottlenecks and capacity issues
  • Handle all customer and stakeholder related processes regarding request, verifications and modifications
  • Ensure the escalation of operational, regulatory and other risks to line manager
  • Maintain strict discipline and rigor around deliverables
  • Client Management Services is responsible for the onboarding and the ongoing management and oversight of related Due Diligence and maintenance activities for a client, on behalf of the business
  • Responsible for managing the client experience throughout the client lifecycle onboarding, maintenance, periodic review, off boarding and client service related activities
  • Ensure all Client Due Diligence requests and activities are resolved within agreed timeframes, and any issues that arise are escalated in a timely manner
Qualifications for client onboarding analyst
  • Fluent oral and written English and Korean
  • Minimum of 3 years working experience in Investment Banking Operations or Finance
  • Good understanding on FX/Derivatives and a plus with previous exposure in Local regulatory reporting
  • Strong communication skills with the ability to interact with traders, other business partners and clients
  • Good grasp of risk and control concepts
  • Show initiative and energy to improve processes
3

Client Onboarding Analyst Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of client onboarding analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for client onboarding analyst
  • Finalize KYC profiles ensuring accuracy, completeness and validity, incorporating multiple risk factors in compliance with global and local regulatory requirements
  • Package all information requirements and KYC profiles on behalf of the Front Office staff for their review and approval
  • Partner with fellow WCOB colleagues – Utilities, Relationship Managers, Quality Control, and Quality Assurance – with the collective aim of ensuring accuracy and a positive client experience
  • Strive for no less than a 95% Quality Control first time pass rate across the WCOB group
  • Analyze and determine account documentation required based upon counterparty type and products traded approving adequacy of account documentation and financial information received from prospective customers
  • Prepare supplementary documentation on file/queries as and when required
  • Carry out appropriate due diligence checks and information searches in line with the internal standards for client take on and undertake additional reputation checks and diligences as and when necessary, (depending on the risk level of the file)
  • Conduct AML due diligence checks on prospective customers, related parties, vendors and suppliers using Actimize, research databases and external data sources
  • Escalate potential sanctions, WLF or Adverse News alerts to the AML Compliance and/or Sanctions officer
  • Assist with metrics and other ad-hocs reports
Qualifications for client onboarding analyst
  • Ability to develop strong relationships with integrated team partners Ability to review and authorize client KYC records with strong attention to detail
  • Track and communicate and respond to inquiries related to record status/issues
  • Some understanding around the governing documentation of a legal entity (legal entity structures, operating LLC's, bi-laws ) preferred
  • Spanish oral and written proficiency required
  • Understanding of sourcing information from various data sources,(Bloomberg, Factiva, Lexis Nexis ) and in several cases utilising financial reports and audited statements for such purposes
  • Experience of working in a team following Agile workflow practices
4

Client Onboarding Analyst Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of client onboarding analyst. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for client onboarding analyst
  • Work closely with PWM teams to ensure all client documents are correct and sent to the client in a timely manner
  • Resolve issues through coordination with PWM Teams, PWM Compliance, PWM Legal and Anti Money Laundering
  • Point of contact within Operations responsible for account opening and relationship with different business units and investment advisors
  • Understand industry regulations and internal policies
  • Support the vetting / negotiations of all contractual, guideline and supplemental agreements that have an operational input or impact with both internal and external parties
  • Ensure that any and all agreements are finalized and dully executed
  • Develop relationships with client contact (internal & external) and relevant third parties
  • Coordinate customers/clients onboardings and approvals across multiple functions / units - Front Office, Compliance, AML, Middle Office, Operations, Legal and Tax, amongst others - all in a high pressure / time-sensitive environment
  • Provide guidance to other COG Analysts
  • Review corporate documentation, legal documents, tax forms and other account opening paperwork/information for completeness and accuracy
Qualifications for client onboarding analyst
  • Experience in client servicing preferably with knowledge in banking and market products
  • Experience in AML, KYC or Client Due Diligence is an advantage
  • Able to work as part of a team and independently under minimal supervision
  • Maintain strong working relationships and liaise with internal and external counterparts including Clients, Sales, Trading, Legal, and Compliance
  • The individual will be responsible for handling onboarding process
  • Bachelor’s degree minimum Excellent written and oral communication skills
5

Client Onboarding Analyst Job Description

Job Description Example
Our company is hiring for a client onboarding analyst. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for client onboarding analyst
  • Where applicable coordinate the update and/or remediation of KYC/AML customer profiles as consequence of material changes
  • Assist in the enhancement of the Client Onboarding Group Procedures and materials to ensure that the onboarding / client maintenance process is documented, transparent, consistent, sustainable and effective
  • Participate in testing of new releases of current systems
  • Ensure daily/weekly reports are generated and distributed timely
  • Engage internal stakeholders to facilitate the onboarding process
  • Where applicable, update and/or remediate KYC/AML customer profiles as consequence of material changes
  • Run daily/weekly reports and maintain reporting repositories organized
  • Facilitate the needs of the client to internal stakeholders while managing timelines on deliverables, ensuring timely communication, and serving as a point of escalation for client concerns
  • Conduct regular visits with key client contacts
  • Deliver market intelligence and KYC regulatory changes
Qualifications for client onboarding analyst
  • A minimum of 1+ year of Financial Services work experience
  • Experience with Derivative products is a plus
  • Knowledge of the specified client type(s)
  • Knowledge of PEPs (Politically Exposed Persons)
  • Knowledge of multiple products such as Cash, Global Custody, Securities, Loans, Derivatives, Collateral Management
  • Thoroughness and attention to detail and able to present complex information in an easy to understand manner

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