Director - Client Onboarding, Account Maintenance, Regulatory and RTT Controls Lead

The Regulatory and RTT Controls Lead, will support PWG in ensuring adherence to all applicable regulatory and other requirements relevant to client onboarding and account life cycle of our high-net-worth clients. You will handle client, product suitability, tax and other regulatory checks and advisory as well as manage any related escalation to 2nd LoD, whether at onboarding or during the client account lifecycle. You will also ensure that all related data points are appropriately maintained,  and support regulatory change initiatives  and/or client outreach to ensure a smooth and efficient client experience.

 Key Responsibilities:

• Assist PWG front office, as part of the Client Onboarding and Lifecycle Management team with client, product suitability, tax and other relevant regulatory review, assessment, approvals and other related tasks.
• Prepare, maintain, and organize materials (training, checklist, guidelines), contributing also to NPC proposals, and ad-hoc information requests.
• Respond promptly to client queries and coordinate internal / external follow-ups.
• Support front office pipeline prioritization, ensuring timely and accurate execution of necessary reviews and account refresh activity
• Help identify process efficiency opportunities and assist in change initiatives.
• Develop, implement, and monitor key controls for regulatory related processes owned by the Client Onboarding and Lifecycle Management team
• Ensure compliance with regulatory requirements, Suitability, Tax checks.
• Maintain updated client records and manage information in CRM systems.
• Collaborate with internal teams such as investment, product, and operations to deliver seamless client service.
• Assist in planning and coordinating intra and cross departmental training regarding client, product suitability, tax and other relevant regulatory requirements

Qualifications:

• Bachelor’s degree in Finance, Business, Economics, Law or related field.
• At least 10 years of experience in banking, wealth management, or financial services.
• Good understanding of financial products and market dynamics.
• Strong organizational skills with attention to detail.
• Excellent communication and interpersonal abilities.
• Familiarity with regulatory standards and compliance processes.
• Proficiency in Microsoft Office and CRM tools.
• Relevant certifications (e.g. CACS 1, 2) are advantageous.

Skills & Attributes:

• Client-focused with a proactive mindset
• Ability to manage multiple tasks efficiently
• Strong teamwork and collaboration skills
• Analytical and problem-solving capabilities
• High integrity and professionalism