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 Summary:
To ensure that customers across business divisions are on-boarded efficiently and in accordance with Group policies and procedures.
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, including initiation of DOCS give up agreements, is issued to all new customers and in accordance with local regulatory and any exchange requirements
- Ensure that appropriate customer categorizations are carried out in accordance with local regulatory requirements
- Ensure daily targets set by the Onboarding Manager are met
- Administer, allocate and accurately update the onboarding pipeline on a daily basis
- Ensure 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 maintained
- Ensure that the Front-Office, Co-Ordination Team and Quality Control Teams are advised of case progress
- Issue Business Head approval request in line with MF requirements
- Attend and drive weekly Business Line prioritization check in calls
- 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 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 responsibility
- To report any breaches of policy to Compliance and/ or your manager 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 Experience:
Competencies
- Excellent verbal and written communication skills
- A collaborative team player, approachable, self-efficient and influences a positive work environment
- Demonstrates curiosity
- Resilient in a challenging, fast-paced environment
- Ability to take a high level of responsibility in a fast pace 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
- At 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 issue
- Excellent customer-service skills.
- Analytical skills
- Problem solving skills
- Strong organizational skills and detail-oriented
- Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
- Proficiency in back-office systems; experience with World Check a plus
Company Values
Acting 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 Rules
You must:
• Act with integrity
• Act with due skill, care and diligence
• Be open and cooperative with the FCA, the PRA and other regulators (where applicable)
• Pay due regard to the interests of customers and treat them fairly
• Observe proper standard of market conduct
• Act to deliver good outcomes for retail customers
