Onboarding Analyst - Broker Dealer - VN1784

Marex•New York, NY

About The Position

The Onboarding Analyst will facilitate the onboarding process for opening new customers. Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics [do not delete]. The US Onboarding team is responsible for facilitating the account opening process across a number of different entities in the United States. The team will work with brokers or client services to gather the proper documentation and configuring the client’s static data withing People Soft and other applicable systems.

Requirements

Strong communication (oral and written) and leadership skills
Excellent customer-service skills
Strong organizational skills and detail-oriented
Ability to work in a fast-paced environment and be an effective multi-tasker
Ability to work independently and proactively take ownership of tasks & processes, yet understand when to escalate an issue
A collaborative team player, approachable, self-efficient and influences a positive work environment
Demonstrates curiosity
Resilient in a challenging, fast-paced environment
Excels at building relationships, networking and influencing others
Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness
At least 1-3 (one to three years' of relevant financial industry experience; working for a FINRA registered BD and NFA registered FCM
Experience with KYC (Know Your Customer) and anti-financial crimes related regulatory requirements a plus
Ability to accurately identify a customer’s applicable profile; e.g. Professional Trader, Hedge Fund, Institutional Investor
Strong understanding of FinCEN, FATCA and OFAC regulations
Knowledge of financial industry rules and regulations
Proficiency in back-office systems; experience with World Check a plus
Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
Bachelor's degree preferred.

Responsibilities

Full coordination and collection of client documentation and requirements to facilitate KYC/AML review and approval.
Ensure that appropriate CDD / KYC and AML checks are carried out on all new customers in accordance with local regulatory requirements and Group standards and procedures
Communicate with brokers, sales, and other support & control functions on necessary account documentation and deficiencies.
Data entry of client & account data in client repositories and back-office systems
Account maintenance of static data updates in back-office systems.
Participate in projects and maintenance of client static data in order to improve efficiencies and Compliance reporting.
Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable regulatory bodies.
Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
At all times complying with Marex’s Code of Conduct
To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility
To report any breaches of policy to Compliance and/ or your supervisor as required
To escalate risk events immediately
To provide input to risk management processes, as required.
The Company may require you to carry out other duties from time to time.