US Client Services and Onboarding, Manager
- Stamford, CT
- $150,000-175,000 per year
- Permanent
- Full-time
- Team leader responsible for the delivery and management of the first line financial crime activities for the US region, ensuring adherence to the organization’s regional and global financial crime policies and standards.
- Supervise, train, and develop team members, effectively allocating tasks to enhance team performance.
- Lead by example, adapting management style to suit team members and collaborating with senior managers to effectively deliver operational processes, manage risks and problem solve.
- Partner with global Oversight and regional second line Compliance teams to maintain effective oversight of financial crime risk frameworks, systems, and controls.
- Build and maintain close partnerships with management stakeholders, sales teams, and clients to drive US onboarding prioritization.
- Provide urgent first line guidance and decisioning support to our US business lines.
- Identify areas of pre-trade customer journey process improvements, collaborate with regional and global stakeholders, and implement changes.
- Partner with global counterparts to perform effective supervision and oversight of internal services provisioned into the region from our global hubs.
- Maintain the team’s Written Supervisory Procedures for covered functions as defined in FINRA Rule 3110.
- Proactively establish and monitor adequate controls to demonstrate supervision over team activities and ensure they are operating effectively.
- Design, implement and maintain key performance indicators, focusing on operational efficiency, compliance accuracy, and client satisfaction.
- Partner with second line and project teams to deliver regulatory change and understand the impact across client operations processes, procedures, and technology.
- Lead first line response to all internal audits, external audits, and regulatory exams.
- Comply with Our Code, Purpose, Values, and relevant Policies.
- Respect and adhere to relevant regulatory obligations and Conduct Rules.
- This is a first line job, as described in the Three Lines of Defence Principles.
- Promote a culture where risk, including financial crime and fraud, is managed effectively, including prompt identification, escalation, and reporting.
- 10+ years of relevant work experience.
- Team leader experience managing a client onboarding and/or first line of defence team
- Expert knowledge of Anti-Financial Crime laws and regulations and best practice first line procedures and processes for a US broker-dealer.
- In-depth knowledge of pre-trade client onboarding processes related to US broker-dealers and capital markets businesses with experience across a wide range of regulatory requirements (AML/KYC, securities rules, Dodd Frank, etc.).
- Demonstrated ability in written and oral communication skills along with strong presentation skills. Ability to determine the information and communication needs of the stakeholders and project.
- Experience overseeing and receiving offshore services in a global operating environment.
- Deadline-driven and results-oriented; able to meet consistently high-quality standards while handling a variety of tasks and deadlines simultaneously.
- Strong leadership qualities with the ability to manage teams and projects, performing well under pressure in a demanding environment.
- Strong capabilities in building relationships and influencing, managing stakeholders effectively.
- FINRA Series 99 or equivalent registration is required, ACAMS certification is a plus.