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The Onboarding Officer (OO) coordinates the effective completion of each assigned case, and is the single point of contact for Front Office staff where there is a query on status
Job Description The Client Onboarding Officer will be part of the global Middle Office Operations team supporting all aspects of client Onboarding to include the fulfilment of Anti Money Laundering (AML) and Know Your Client (KYC) requirements. The Client Onboarding Officer will partner with the client-facing teams 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 Client Onboarding Officer will own the end to end Onboarding of new clients and subsequent periodic renewal process of all clients. The Client Onboarding Officer will assist with the drafting and gathering of client documents and make independent recommendations regarding AML risk at a client level prior to final review by the client-facing team. The Client Onboarding Specialists are expected to stay current with all regulatory changes and requirements around client KYC, Suitability and Documentation.
Responsible for coordinating the effective completion of each assigned case from initiation to completion; following up with teams responsible for completing sub-activities across the end to end New Account Opening process
Act as primary interface for Bankers ; responsible for managing expectations and enhancing the client experience
Communicates in a clear transparent way and articulates on-boarding requirements and time commitments to the banker
Set and manage the priority of all on-boarding requests through ongoing engagement with business , whilst proactively managing the on-boarding pipeline throughout all stages of the process
Drives effective issue resolution within boundaries of policy, ensuring cases are completed in line with defined service level agreements
Single point of contact to facilitate all queries for that case, including issues around PEP, screening, regulatory, compliance, legal, operational risk, account opening
Undertake Client due diligence on a timely basis and ensure they are performed to meet the required quality and detail standards as required by Policy & Procedures
Analyze AML risks associated with the client from a technical perspective , identify and escalate potential risks and operational issues as appropriate
Identify red flag / dot situations and escalate in line with policy and procedures
Ensure necessary KYC docs are attached to the client's CDD in line with policy and procedures
Ensure New Account Tracking file is updated on real time basis so as to reflect the accurate status
Ensuring appropriate and confidential handling / sharing of sensitive client data
Contribute ideas and participate in efforts to drive continuous improvement to enhance service delivery
Escalate issues in a timely manner in line with the escalation protocols
Escalate recurrent issues surrounding the onboarding process to management
Work independently and complete assigned tasks within the established timeframes
Experience / Exposure
Relevant experience in Client Onboarding
Strong understanding of KYC, AML , Regulatory requirements (i.e. HKMA and MAS)