Case Manager (Client On-boarding)

  • Negotiable
  • London, England, United Kingdom
  • Permanent, Full time
  • Standard Advisory London Limited
  • 20 Feb 18 2018-02-20

The Case Manager team within CRM forms part of Standard Advisory London Limited's (SALL) Client Risk Management framework for analysing and assessing financial crime risks associated with all clients. The Case Manager team play an integral role in supporting SALL's Client Risk Management Committee ("CRMC") in making informed decisions regarding the on-boarding of a client or the continued engagement of an existing client

The Case Manager team within CRM forms part of Standard Advisory London Limited's (SALL) Client Risk Management framework for analysing and assessing financial crime risks associated with all clients. The Case Manager team play an integral role in supporting SALL's Client Risk Management Committee ("CRMC") in making informed decisions regarding the on-boarding of a client or the continued engagement of an existing client.

The prime purpose of the Case Manager role is to manage clients through the KYC process from the initiation of a new on boarding request or periodic review through to final business sign off and CRMC approval.

The Case Manager ("Manager") will provide support to the Head, Case Management in identifying and addressing the training and development needs of junior team members.

The Case Manager will ensure that KYC documents, collected on our behalf by Thomson Reuters - Org ID ("Org-ID"), meet both external regulatory and internal policy requirements. In addition Case Managers will receive and action on-going screening results from both Org-ID and the Client Screening and Monitoring ("CSM") team on their clients their related parties.

Together with the relevant Account Executive the Case Manager will also be responsible for ensuring that issues impacting client risk are identified, understood and addressed. This partnership with the Account Executives is expected to form an effective first line of defence.

The Case Manager team will perform a peer review within the team to ensure that the quality control requirement is met by ongoing peer review processes.

Key Responsibilities

Maintain an understanding of SALL's business, risk appetite and overall client risk profile:

  • As a result of relationships built with the front office understand the role SALL front office plays within the SB Group, the Coverage model and the products the Coverage model support.
  • As a result of relationships built with both the front office and Financial Crime Control ("FCC") understand the SALL client risk appetite and the overall client risk profile
  • Understand how the above impacts clients within their portfolio

Obtain an understanding of clients within your portfolio:

  • Have a clear understanding of the clients within their portfolio gained from discussions with AE's, analysis of previous KYC reviews conducted and open source research
  • Client understanding is critical to ensure that the Case managers, in partnership with AE's, are an effective first line of defence to ensure risk factors are identified, understood and either mitigated or escalated

Obtain an understanding of the business relationship:

  • Form collaborative relationships with AE's and develop a clear understanding of the business relationships SALL as well as the wider SB Group has with individual clients

The three requirements above will result in the Case Manager in having the required knowledge to manage existing or prospective clients through the end to end KYC process.

Knowledge and Experience

  • You will have worked in a Banking, Financial Services or Professional Services environment.
  • Proven experience of working in a technical environment (e.g. evaluation of corporate documentation; interpretation of regulatory rules and guidelines; understanding complex ownership structures)
  • Ability to step back from the detail to understand and evaluate the wider picture based on various information sources
  • Confidence to take ownership and articulate their decisions
  • Ability to problem solve
  • Given the focus on all stages through the KYC process the ability to be an all-rounder covering the end to end process while recognising the need to use specialists, such as the EDD team, as required.
  • Have excellent interpersonal skills with the ability to build, maintain and strengthen working relationships
  • Proactive approach, with the ability to manage and prioritise workload of self and others to effectively meet deadlines, occasionally under deal timeframe pressures
  • You will be self-motivated and a team player with a demonstrated organised, proactive and pragmatic approach to work
  • You will be able to demonstrate that you have attention to detail with ability to deliver high quality work under tight deadlines
  • Experience working in a challenging and complex organisational matrix. You must demonstrate you have a flexible working style, accustomed to working in an ambiguous work environment within multi-disciplinary and diverse teams