Junior Onboarding Analyst

香港
長期
全職

1天前

Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics.The Client Onboarding Department is responsible for conducting the process of identifying and verifying new customers. The team plays a key role in combatting financial crime and terrorist financing.Role SummaryTo ensure that customers across business divisions are on-boarded efficiently and in accordance with Group policies and procedures.Overall Responsibilities

Ensure that appropriate CDD / KYC and AML checks are carried out on all new customers in accordance with local regulatory requirements and Group standards and procedures
Ensure that appropriate client documentation is issued to all new customers and in accordance with local regulatory and any exchange requirements
Ensure that appropriate customer classifications/categorizations are carried out in accordance with local regulatory requirements
Ensure daily targets set by the Onboarding Manager are met
Accurately update the customer pipeline on a daily basis [NEON]
Ensure that client and static data is accurately input and maintained into the Client Data Base, including account opening [NEON and PeopleSoft]
Ensure that complete records of all customer documentation are maintained
Issuance of client agreements, terms of business and regulatory notices
Liaise with sales teams, client services and where required clients, to obtain KYC/AML documentation
Ensure that the Front-Office and Quality Control Teams are advised of case progress
Assist on any other ad-hoc reviews/projects/audits that the Onboarding department is required to carry out
Efficiently dealing with general day-to-day ad-hoc queries
Work closely with the Financial Crime team
Keeping management timely informed of issues/developments
Ensuring compliance with the company's regulatory requirements under the DFSA, FCA, NFA, AMF, AFM, MAS, SFC, ASIC.

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 DFSA'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.
The Company may require you to carry out other duties from time to time

Competencies, Skills and ExperienceCompetencies

A collaborative team player, approachable, self-efficient and influences a positive work environment
Demonstrates curiosity
Resilient in a challenging, fast-paced environment
Ability to work within a fast paced and high-volume environment
Excels at building relationships, networking and influencing others
Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness

Skills and Experience

Experience in client onboarding, KYC and risk assessment of clients
Solid understanding of client categorization
Worked in support of trading desks
Analytical skills
Problem solving skills
Excellent verbal and written communication skills
Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this

Company 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.

Marex

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