Client Onboarding Associate

Group Overview

TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior liquidity and data solutions. The Group is home to a stable of premium brands.

Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy & Commodities broker in the world, the world’s leading provider of OTC data, and an award winning all-to-all trading platform. The Group operates from more than 60 offices in 27 countries. We are 5,300 people strong. We work as one to achieve our vision of being the world’s most trusted, innovative, liquidity and data solutions specialist.

The Client Onboarding Specialist is a hybrid role and will be part of the Operational Services team supporting all aspects of client Onboarding to include the fulfilment of Anti-Money Laundering (AML) and Know Your Client (KYC) requirements. The Client Onboarding Specialist will partner with the client-facing teams to ensure all client KYC records are compliant with regulatory standards, and will ensure high quality and timely completion of all client-level due diligence requirements at the onset and renewal of client relationships.

The Client Onboarding Specialist will own the end to end Onboarding of new clients and subsequent periodic renewal process. Applications are being considered for one role in either Louisville or New York.

• Partnering with the client facing teams to collect required legal documents and associated information to meet all regulatory and internal polices
• Support front office with onboarding new and existing clients
• Act as the clients’ point of contact by addressing their issues and concerns and providing resolutions to their onboarding queries in line with our internal policies, the regulatory environment and market practices
• Manage the client onboarding process including:
  • As required by the Front Office, prepare and submit Client Due Diligence files (KYC). Ensure accuracy of the information.
  • Gather and research information on clients to enrich requests (beneficial owners, shareholder information and other client intelligence).
  • Analyze and determine account documentation required based upon counter party type and products traded.
  • Undertake quality review of clients’ KYC records
  • Act as a KYC and AML subject matter expert
• Ensure the proper onboarding-related maintenance of our existing clients:
  • Organize the planning for periodic documentation refreshes, based on vetting expiry dates.
  • Liaise with business owners to confirm the client activity and confirm the need for renewing on-boarding status or refer for offboarding.
  • Update CDD forms and collect documentation for periodic reviews per the mandated timeline or as necessary based on changes that would trigger an event driven review.
  • Discuss and elevate with Compliance complex issues surrounding client types and structures, financial products and services, and other AML risk-related issues.
• Contribute to the continuous process improvement efforts and ensuring there are written and updated procedures.
• Contribute to implementation of new projects, processes and systems.

• Strong client focus and ability to partner with various internal groups and client coverage
• Independent, self‑motivated, with ability to adapt and be flexible in a team environment
• Strong analytical, prioritization and organizational skills
• Ability to successfully navigate a complex infrastructure that involves numerous groups and individuals
• 2-5 years’ experience in financial services, operation or compliance fields
• Client Onboarding and/or documentation analysis experience preferred
• Wide knowledge of financial products including SEF
• Strong knowledge of Excel and all Microsoft Office suites

• College degree preferred
• Strong risk and controls awareness
• Prior experience in AML/ KYC is preferred

• Series 99 preferred

$72,000-$76,…