About Us

Canaccord Genuity is a forward-thinking financial services firm dedicated to delivering exceptional client service and innovative investment solutions. As one of Australia's leading Wealth Management and Capital Markets firms, with a global network spanning 5 continents, we’re proud to employ over 300 talented professionals in 6 offices located in major capital cities and regional centres, across Australia.

About the Role

We are currently seeking a motivated and detail-oriented professional to lead the account onboarding and support stream within the Client Services Team and oversee all aspects of the account onboarding and account maintenance processes. In this role, the Account Onboarding Manager will be responsible for ensuring a smooth and efficient onboarding experience for clients and Advisers whilst meeting proper due diligence to KYC / AML rules.

Key responsibilities include:

• Review and approve client account documentation; understand and enforce current local and global AML KYC requirements, ensuring proper due diligence to KYC rules for new client onboarding or updates to existing client static data.
• Oversee all aspects of onboarding for Platform Accounts incorporating:
• Preparation of client paperwork
• Preparation of documentation for third party services associated to new accounts
• Subject Matter Expert (SME) of the account opening process.
• Subject Matter Expert (SME) on local and global standards and policies and key contact for related queries and initiatives.
• Answer queries on all aspects of account onboarding, provide guidance to advisers and support staff on complex matters.
• Facilitate screening requirements and assess customers, to identify possible Money Laundering, Terrorist Financing, Tax Evasion and other risks.
• Provide proactive solutions and/or answer complex queries for Clients, Financial Advisers and Client Service Associates.
• Proactively escalate issues to Management, Compliance, GFC/ AML, Client Services staff in a timely manner to minimise potential liabilities to the business; work collaboratively with the relevant teams for resolution.
• Ongoing client account maintenance including banking updates, change of addresses, details.
• Participate and facilitate cross training as required, with particular focus on driving process consistency and knowledge share across locations.
• Assist in providing training and feedback to ensure that the team are meeting the requirements of their position and team performance.
• Manage staff leave requests and queries where required.
• Proactively seek opportunities to improve processes, drive initiatives for improving efficiency and reducing risk
• Involvement in ad-hoc projects and initiatives as requested by management.

About you:

To be considered for this role you will need to have sound knowledge and experience in account opening and KYC/AML requirements. Ideally, the successful candidate will possess a minimum of 3 years’ experience in in the Australian and global securities markets, preferably with a client service, client onboarding or operations background.

We are also seeking applicants with the following attributes:

• A proactive nature, challenging and questioning process, seeking innovative solutions to improve efficiency and mitigate risk.
• Acute awareness of risk, with clear focus on control and timely escalation.
• Team player with the ability to collaborate across multiple operational areas.
• Willingness to take ownership and setting expectations in line with business and team objectives.
• Proven ability to effectively manage staff and network effectively with employees’ or external parties while maintaining effective working relationships.
• Developed interpersonal, negotiation and relationship management skills, including dispute resolution and relationship building; ability to communicate at all levels
• Self-motivated with demonstrated drive and initiative Willingness to demonstrate a commitment to Canaccord Genuity values.
• Knowledge and experience related to customer onboarding and current AML/KYC regulations (Locally or Globally).
• Knowledge of Australian and International securities regulations and compliance requirements (including ASX Business Rules, Securities Clearing House Business Rules, Australian Clearing House Rules, Corporations Act, ASIC Policies, FINRA Regulations and FSA Regulations) is advantageous but not essential.

Our Values

At Canaccord Genuity. we expect every member of our team to incorporate our brand values of being Aligned, Accountable, Approachable and Agile. To truly embody Canaccord Genuity’s 4 A’s you will be:

Aligned in your work and actions with CG’s wider firm goals and vision. You understand and actively contribute to the overall direction and objectives of your team and the greater CG organisation.

Accountable, taking responsibility for your work and its outcomes. You are reliable, meet deadlines, and deliver high-quality results.

Approachable, friendly, and easy to communicate with. You create an environment where others feel comfortable reaching out for help, advice, or collaboration, while also being receptive to feedback.

Agile and able to adapt and respond quickly to changing circumstances. You are flexible, nimble, and can efficiently adjust your approach or priorities as needed.

Why work for Canaccord Genuity?

Canaccord Genuity is a great place for ambitious and intelligent individuals to excel in their careers. Our team is a diverse mix of those who are starting their careers and seasoned professionals eager to share their wisdom with the next generation. We’re committed to ongoing staff development to help our employees succeed in their chosen career path through our range of training and support services.

We also offer a wide range of employee benefits, including paid parental leave, study assistance, paid volunteer leave, free gym memberships, and more!

Canaccord Genuity is an endorsed employer for all women, and you can explore our benefits and policies directly at: https://work180.com/en-au/for-women/employer/canaccord-genuity

Ready to Join Our Team?

Join us and become a part of a team that values your expertise and encourages you to reach your full potential.

If you have the skills and dedication required for this role, we would love to hear from you!

Applications close COB 17 November 2023.