Western Cape: Peregrine Administration Services Investor Services posted by The Hiring House

Key Responsibilities
Advisor Servicing
– Ensure response to advisor queries within SLA
– Investigating and problem solving any queries/issues (end to end ownership to drive issues resolution, escalations where necessary, keeping advisors updated)
– Ensure all clients are FICA compliant and risk ratings are up to date
 
Administrator: Pre-execution checks
– Ensuring CDD, client risk assessment, and SOF information are in place before sending the instruction to the internal platforms for processing.
– Performing other critical pre-execution checks (as defined and documented in the checklists) – including;
– Ensuring that the instruction is properly authorised ie that the client or advisor has signed/authorised the instruction in line with the business rules/
– Ensuring that the correct mandate is in place ie the advisor is properly authorised.
– That the payment/withdrawal is going from/to the client or if from/to a third party that the CDD, risk assessments are in place and that the reason for this is understood.
– That for instructions for life products that beneficiaries have been set up, linked and screened and that any risks introduced by the beneficiary have been considered.
– FATCA and CRS checks – ensuring that the self-declarations have been provided, reviewing these in line with the information we have on record for the client and ensuring that the status is correctly recorded on the database.
– For certain trigger events e.g. a client emigration (change in address where the client has moved to another country), ensuring that the risk rating impact and FATCA/CRS impact has been properly handled
– Ensure functions are performed within the agreed SLA’s and turnaround times.
– Identify suspicious patterns of transactions and escalate for review.
– Collaborate with internal clients and address queries and escalations
– Document processes and procedures, look for and suggest opportunities to optimise processes /improve efficiencies
– Participate in any remediation projects, to resolve any issues identified by compliance/inspections/external reviews.

Qualifications & Experience
– Matric
– Relevant certificate/diploma/degree and/or a minimum of 2-3 years’ experience in a similar role.

Please call us on (***)***-****

NB: Should you not hear from us within 6 weeks, please consider your application unsuccessful.