Main Duties and Responsibilities: • Champion the client experience through positive telephone, email and in-person encounters • Triage and escalate client contact to appropriate department or personnel • Manage End to End client account opening, KYC and maintenance processes, including CRM data capture • Provides administrative support to the Advisory Team • Collection and distribution of mail (by hand deliveries) • Assist retail and other clients with the account opening process • Reviews all account opening documentation from sales agents for new accounts • Scanning, Photocopying and Certifying of required account opening supporting documents • Maintains account opening log • Update clients' record as necessary in IPBS • Manages the process for the distribution of cheques for RF clients • Create Online Banking Profiles and distribute electronic welcome letters • Prepares client receipts and Bank deposits • Maintains and updates Client email databases • Preparation of accounting entries and related forms • Process cheque and transfer request • Maintains the redemption report and submits monthly submissions (including Brokerage accounts) • Close out zero-balance accounts • Other related duties as assigned • Book prospect and client meetings, as well as arranging and project managing marketing and sales events for the advisory team • Assist the manager and advisory team with marketing material and content for local events and initiatives by engaging with the marketing department Customer Due Diligence • Review and verify that all customer due diligence information is complete to meet our legal and regulatory obligations (as per the CFC Manual). Specifically, collect and ensure that the customer records contain all pertinent information regarding (a) their physical identity (including the identity of authorized signatories, controllers and beneficial owners(s) of corporate accounts); and activity undertaken according to the customer's risk profile. • Review and verify that all customer due diligence information is accurate (i.e. Internally consistent with established facts and information provided in all on-boarding documents) to meet our legal and regulatory obligations (as per the CFC Manual); and where applicable is also accurately recorded in IPBS Compliance. • Ensure that the true identity information (as per the CFC Manual) of the customer (authorized signatories, controllers and the beneficial owner(s)) is verified using acceptable identification methods (as per the CFC Manual) prior to onboarding. For existing customers that are unverified, ensure the customer is given proper notice to remediate due diligence deficiencies (as soon as they are identified by-or communicated to-you); and thereafter escalate any non-compliance customers to the Unit Compliance Officer. • Take reasonable and appropriate measures to verify the key information provided by customers to reliable independent sources for relationships; including source of wealth verification for AML/CFT High Risk customers. NOTE: When relying on documents, you should be aware that the best documents for true identity verification are those most difficult to obtain illicitly or counterfeit. • Ensure that all new accounts and client updates are approved by the Compliance Officer or his/her designate. Customer AML/CFT Risk Rating • Complete manual CFC risk-rating calculations for all new customers and verify that the proper risk-rating category is captured. All clients with a cumulative risk-rating score of 50 or over should be forwarded by email (with all supporting documentation) to the Money Laundering Reporting Officer for approval. • Subsequent to on-boarding, where it is identified that a customer's activity is inconsistent with established facts and information, adhere to the AML/CFT Manual to ensure that the AML/CFT risk-rating is re-performed. • Suspicious Transaction Monitoring • Report all suspicious and/or unusual transactions to the Money Laundering Reporting Officer (as per the CFC Manual); noting that these may arise outside of due diligence and enhanced due diligence procedures, but in the ordinary course of performing other duties and from knowledge gained on the customer both internal and external sources. • Be aware of all CFC High Risk customers so as to have a heightened awareness of changes in behavior and/or pattern of their business activity; and noting that these changes may be identified in ordinary course of performing duties from knowledge gained on the customer both from internal and external sources. Requirements/ Qualifications: • Associate or Bachelors Degree Preferred • SIE Completion or Series 7 Certification is a strong asset • Minimum of 3 years Client Services or Administrative experience • Excellent communication skills (Verbal, written & Interpersonal) • Proficient at Microsoft Office Suite programs • Knowledge of Banking KYC/AML requirements is an asset • Ability to manage complex projects and multi-task • Ability to work in a high paced, client facing environment with little supervision