Client Onboarding - Investment Advisors/Funds Group - AVP
Core
Manage end-to-end onboarding and due diligence for new investment advisor clients, ensuring compliance with KYC, AML, and sanctions requirements.
Role type
Senior IC client onboarding specialist (investment advisors/funds)
Builds
KYC packages, due diligence reports, and onboarding workflows for new clients
Domain
Financial services / Investment Banking / Compliance
Required skills
KYC and AML knowledge, OFAC and sanctions screening, due diligence execution, risk assessment, regulatory compliance (FinCen, Wolfsberg), client liaison, internal stakeholder coordination, industry code classification, document management
Preferred skills
Familiarity with Investment Advisor Public Disclosure and Edgar sites, understanding of Investment Advisor organizational structures, ability to distinguish between full and streamlined KYC processes
Technologies
FinCen systems, OFAC databases, Edgar, RIA, QIB, 2111, AML Wolfsberg Questionnaire, Accelerated Onboarding Sheets, 151 Prime Broker Agreements
Responsibilities
Support direct team manager for all onboarding processes, manage daily onboarding requests for all divisions, compose KYC packages and perform due diligence, conduct OFAC and Negative News searches, prioritize onboarding cases to meet deadlines, liaise with Front Office and clients, adhere to internal audit requirements, recommend efficiency improvements, determine industry codes, liaise with internal groups (Legal, Compliance, Sanctions, Regulatory, Tax, Operations)
Seniority
Senior, hands-on IC