CMC Markets
London, United Kingdom
Role & Responsibilities
The Head of Onboarding will lead and transform the KYC/Onboarding team from a predominantly administrative function sitting in Sales/Client services, to a best in class control function sitting in Business Operations.
Work closely with Group Compliance to formalise a traditional 1st line/2nd line of defence model for KYC and Onboarding. Assist in the transition of duties from 2nd line to 1st line as appropriate.
Ensure that all retail individual, corporate, and institutional clients are onboarded in an efficient and compliant manner, within agreed SLAs.
The Head of Onboarding will Implement best in class customer data capture, ensuring completeness and accuracy of all data required for internal use, and to meet external regulatory requirements including but not limited to local KYC/AML regulation, FATCA/CRS, US QI, MiFID and EMIR.
Enhance CMC’s customer due diligence / periodic review process, ensuring that for all customer...