Job description


  • Entry level
  • No Education
  • Salary to negotiate
  • Salt Lake City


Client Onboarding Due Diligence Analyst

Your Impact

- Our Client Onboarding Due Diligence team is seeking a professional who is looking to work with a wide variety of individuals in Institutional Sales, Compliance and Operations across the Securities Division to facilitate an excellent client onboarding experience and mitigate risks associated with the capture and documentation of related financial transactions.

Our Impact

- Client Due Diligence Operations is a dynamic, multi-faceted team that helps to deliver sales and trading capabilities to clients around the world for all product lines and markets.
- Alongside this vital service delivery role, our team oversees essential risk management and control, preserving and enhancing the firm’s assets and its reputation.
- This group manages key relationships to assist in the onboarding of institutional and prime brokerage clients.
- As a member of the Client Onboarding organization, this individual will specialize in the review of AML/KYC documentation and the approval of new relationships for the Americas institutional business.
- The individual will work directly with our internal partners, clients and sales in a fast paced environment with precision and accuracy.
- The ability to prioritize, meet deadlines and communicate to all levels of the organization, including sales, legal and compliance, is critical.

How You Will Fulfill Your Potential

- Ensure due diligence is performed to comply with “Know Your Customer” regulations
- Develop expertise in the Firm’s Anti Money Laundering/Customer Identification due diligence policies
- Draft procedures to reflect changing regulatory requirements
- Devise and implement process improvement efficiencies
- Coordinate with internal and external clients to obtain relevant onboarding requirements
- Approve the opening of new accounts

Basic Qualifications

- Bachelor's degree required
- Proven analytical skills, problem solving ability, and a control mentality paired with meticulous attention to detail
- Aptitude for building relationships and ability to communicate complex issues to a wide array of internal clients with differing levels of product experience.
- Self-motivated and proactive team player, who takes ownership and accountability of projects, has strong organizational skills as well as the ability to effectively manage competing priorities.
- Flexible and able to work well under pressure in a team environment.

Preferred Qualifications

- Knowledge of Customer Identification Programs (CIP) a plus
- Understand structure of trading counterparts
- Knowledge of financial markets and products
- Ability to adapt to new changes and new challenges
- Excellent written and verbal communication skills
- Proactive, self-motivated
- Prudent in escalating potential risk to the Firm
- Spanish/Portuguese language skills a plus

About the company


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