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Head of Global Broking Client On-Boarding Operations – Commodities

  • Location: Jersey City, NJ
  • Job Type: Direct Placement
  • Ref No: 23-00433
  • Date: January 30, 2023
  • Pay: $120000.0 - $160000.0 per Hour USD
  • Job title:

Job Description - Head of Global Broking Client On-Boarding Operations – Commodities

Head of Global Broking Client On-Boarding Operations – Commodities


Overview of Role:

The Head of Global Broking (GB) Client On-Boarding will partner with the Global Broking and Agency Execution client-facing teams and the rest of the Client On-Boarding team to ensure all client KYC records are compliant with regulatory standards and will ensure high quality and timely completion of all client-level due diligence requirements at the onset and renewal of client relationships. The Head of GB Client On-boarding will own the end to end on-boarding of new clients, the periodic renewal process and other related duties as required.

This position will report to the Head of Operational Services, Americas and will work closely with the remainder of the Client On-Boarding team to ensure all key controls are covered effectively. The role partners with Operations management, Compliance, Risk, Credit, Finance, Technology, and Trade Management teams, prioritizing risk controls and regulatory compliance. It is incumbent to ensure that competing businesses are supported with professionalism and discretion.

Job duties:

  • Partnering with the client facing teams to collect required legal documents and associated information to meet all regulatory and internal polices
  • Support front office with onboarding new and existing clients
  • Act as the clients' point of contact by addressing their issues and concerns and providing resolutions to their onboarding queries in line with our internal policies, the regulatory environment and market practices
  • Manage the client onboarding process including:
    • As required by the Front Office, prepare and submit Client Due Diligence files (KYC). Ensure accuracy of the information
    • Gather and research information on clients to enrich requests (beneficial owners, shareholder information and other client intelligence)
    • Analyse and determine account documentation required based upon counterparty type and products traded
  • Undertake quality review of clients' KYC records
  • Act as a KYC and AML subject matter expert for the group
  • Ensure the proper onboarding-related maintenance of our existing clients:

    • Organize the planning for periodic documentation refreshes, based on vetting expiry dates
    • Liaise with business owners to confirm the client activity and confirm the need for renewing on-boarding status or refer for offboarding
    • Update CDD forms and collect documentation for periodic reviews per the mandated timeline or as necessary based on changes that would trigger an event driven review
    • Execute give-up agreements as required to support the futures business.
  • Discuss and escalate with Compliance complex issues surrounding client types and structures, financial products and services, and other AML risk-related issues
  • Contribute to the continuous process improvement efforts and ensuring there are written and updated procedures.
  • Contribute to the implementation of new projects, processes and systems as required
  • Act as the point of contact for all internal/external audits related to the group
  • Assist in the testing, maintenance and rule setting for the on-boarding system as required by the Client On-Boarding group
  • Keep abreast of regulatory and legal initiatives, highlighting significant AML/KYC/sanctions compliance issues and advising on implications of changes in regulation to the On-boarding process

Requirements for the Role

The ideal candidate is someone with a minimum of 3-5 years of experience in the Financial Services industry, with a proven track record of effectively managing Operations teams, in-depth knowledge of KYC/AML requirements and delivering on complex projects. Having the ability to form strong relationships and act as a trusted partner to your staff and the supported businesses is critical to this role, as is providing visible leadership and driving organisational change.

Experience and Personal Attributes:

  • Credible Financial Services experience, including with Client Lifecycle Management knowledge
  • A natural collaborator who builds and maintains strong stakeholder support
  • Passionate and enthusiastic, with a strong drive to deliver – shows persistence and resilience in the face of difficulties. Brings positive energy to the team
  • Remain calm and balanced during challenging times - able to direct the team to complete challenging objectives whilst communicating with confidence to stakeholders (i.e. during major incidents / outages or large-scale mandatory change)
  • Strong listening skills, willingness to understand all the facts of a situation before judging
  • Ability to work in a fast-paced business
  • Strong written and oral communication skills; able to influence internal and external stakeholders
  • Strong client focus and ability to partner with various internal groups and client coverage
  • Independent, self-motivated, with ability to adapt and be flexible in a team environment
  • Ability to demonstrate good judgement and decision making in escalating potential
  • risk to the Firm
  • Strong analytical, prioritization and organizational skills
  • Strong risk and controls awareness
  • Ability to successfully navigate a complex infrastructure that involves numerous groups and individuals
  • At least 3-5 years of experience in the financial industry, with on-boarding experience and in managing people

About Infinity Consulting Solutions

At Infinity Consulting Solutions our mission is to cultivate successful long term relationships with candidates and clients matching the right candidate with the right client. We believe technology cannot replace the real personal relationships we cultivate. We reject the notion that technology alone is the answer to staffing which is why we our successful partnerships rely on collaboration NOT automation. ICS has been providing flexible staffing solutions for over 20 years in Information Technology, Compliance, Accounting / Finance and Corporate Support. Our staffing solutions include Contract, Temp to Perm and Permanent Placement.

ICS is an Equal Opportunity Employer.

*W2 employees of ICS are offered comprehensive benefits including health, dental and vision.

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