Sydney, NSW Full-Time Control and Support - OnboardingRole SummaryTo ensure that customers across business divisions are on-boarded efficiently and in accordance with Group policies and procedures.ResponsibilitiesEnsure that appropriate CDD / KYC and AML checks are carried out on all new customers in accordance with local regulatory requirements and Group standards and proceduresEnsure that appropriate client documentation, including initiation of DOCS give up agreements, is issued to all new customers and in accordance with local regulatory and any exchange requirementsEnsure that appropriate customer categorizations are carried out in accordance with local regulatory requirementsEnsure daily targets set by the Onboarding Manager are metAdminister, allocate and accurately update the onboarding pipeline on a daily basisEnsure that client and static data is accurately input and maintained into the Client Data Base (Neon Onboarding and PeopleSoft)Ensure that complete records of all customer documentation are maintainedEnsure that the Front-Office, Co-Ordination Team and Quality Control Teams are advised of case progressIssue Business Head approval request in line with MF requirementsAttend and drive weekly Business Line prioritization check in callsAssist on any other ad-hoc reviews/projects/audits that the Onboarding department is required to carry outEfficiently dealing with general day-to-day ad-hoc queriesWork closely with the Financial Crime teamKeeping management timely informed of issues/developmentsEnsuring compliance with the company's regulatory requirements under the FCA, NFA, AMF, AFM, MAS, SFC and ASIC, AUSTRAC.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 the AUSTRAC and ASIC 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 responsibilityTo report any breaches of policy to Compliance and/ or your manager as requiredTo escalate risk events immediatelyTo provide input to risk management processes, as required.The Company may require you to carry out other duties from time to timeCompetencies, Skills, and ExperienceExcellent verbal and written communication skillsA collaborative team player, approachable, self-efficient and influences a positive work environmentResilient in a challenging, fast-paced environmentAbility to take a high level of responsibility in a fast pace and high-volume environmentExcels at building relationships, networking and influencing othersStrategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectivenessSkills and ExperienceAt least 3-5 (three to five) years of relevant financial industry experience.Experience in client onboarding with KYC (know your customer) and anti-financial crimes related regulatory requirement a plus.Ability to work independently and proactively take ownership of tasks & processes, yet understand when to escalate an issueAnalytical skillsStrong organizational skills and detail-orientedExperience working in a regulated setting and knowledge of the risk and compliance requirements associated with this.Proficiency in back-office systems; experience with World Check a plusCompany ValuesActing as a role model for the values of the Company:Respect – Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm.
We respect our clients and always treat them fairly.Integrity– Doing business the right way is the only way.
We hold ourselves to a high ethical standard in everything we do – our clients expect this and we demand it of ourselves.Collaborative– We work in teams – open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork.
Working well with others is necessary for us to succeed at what we do.Developing our People– Our people are the basis of our competitive advantage.
We look to "grow our own" and make Marex the place ambitious, hardworking, talented people choose to build their careers.Adaptable and Nimble– Our size and flexibility is an advantage.
We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements.
A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction.Conduct RulesYou must:Act with integrityAct with due skill, care and diligenceBe open and cooperative with the FCA, the PRA and other regulators (where applicable)Pay due regard to the interests of customers and treat them fairlyObserve proper standard of market conductAct to deliver good outcomes for retail customers
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