Documentation Control

Our client is seeking a meticulous Documentation Controller for this full-time role. The role is essential for ensuring that both internal and external regulatory requirements are met, thereby maintaining a high standard of client documentation. The successful candidate will play a pivotal role in documenting and verifying client profiles, monitoring compliance, and liaising with various departments to facilitate seamless operations. Our client would also consider someone at the start of their career with a years’ experience in an onboarding role. Job Duties Check that client and intermediary documentation is fully completed. Monitor the completeness of new account documentation. Liaise with relevant Relationship Officers to rectify any deficiencies. Report outstanding documentation to Senior Management. Assist Relationship Officers with queries regarding account opening requirements. Support quality assurance efforts to implement consistent documentation standards. Act as Secretary to the New Business Committee. Collaborate with the Schroders Service Centre on the establishment of new client portfolios. Perform qualitative reviews of documentation for new clients and prime intermediaries prior to approval. Ensure timely updates of client profiles and preparation of annual reviews by Relationship Officers. Prepare status reports in a timely manner. Control and review static data including client records as a focal point for change control. Ensure all documentation requirements for Qualified Intermediary (QI) purposes are obtained, including daily checks for holders of US securities. Undertake ad-hoc projects as needed. Assist in keeping the New Client Documentation Guide and procedures up-to-date, as well as drafting the Procedures Manual where required. Verify client information against World Check and other databases. Job Requirements A thorough understanding of company client documentation standards. Knowledge of Anti-Money Laundering rules and FATCA regulations. A relevant professional qualification and/or 5+ years’ experience in an AML/account opening environment. Excellent written and verbal communication skills, with the ability to influence others. Self-motivated, capable of working independently and making decisions when required. Strong attention to detail and a proactive approach to problem-solving. A collaborative spirit with a desire to work as part of a team.