Client Registry Officer

Location:	Luxembourg
Salary:	Not communicated
Job type:	Permanent, Full-time

Job description

Summary

You will work within the LOESA department of Client Registry alongside the private banking and compliance teams to oversee and control client account documentation and system records. You will act as a central point and co-ordinate all client registry duties with group entities. You will control access to Europeclient file and system data. You will coordinate “approved” updates to client documents in LOESA Docuprint system.

1. Key Responsibilities

Day to day function

• Analyse documents in relation to the opening of accounts
• Application of the rules regarding due diligence
• Application of the Bank’s policy of business and the internal directives in accordance with the necessary requirements
• Manage all questions regarding documentation requirements for the openings and modifications to existing accounts.
• Ensure that all legal and customer files and data are maintained in accordance with European Regulations and internal LOESA & Group directives
• Ensure that all client account documents and supporting KYC documents are in order, otherwise report any missing items, prior to file presentation to the Due Diligence Committee
• Open Client Accounts and maintain Client Data on LO Systems, (Client 1.5 and DJ Client)
• Check, safe keep and ensure the integrity of  client legal files, account opening forms, supporting KYC documents and correspondent files within strong room.
• Chase missing documents with Bankers and Assistants, and report outstanding items to Compliance (as per agreed procedure)
• Scan client account documents into LO’s scanning system and manage the electronic access to corresponding client account data
• Archive client files in accordance with approved procedure
• Maintain the Payments (& Security Transfers once implemented) Ratification Tool for custody accounts, chase missing orders and report outstanding items to Compliance/Risk Management (as per agreed procedure)
• Implement Client Registry and Account Opening projects locally

Access to Client Accounts Data

• Manage the electronic access to CC2 
• Approve requests to delegated client account system access (G2 client account access)
• Implement controls to ensure the integrity of client account delegated system access

Client LO Documents

• In close cooperation with the COO, Compliance, IT Geneva and Luxembourg appointed coordinator, manage the introduction of new and updated documents into LOESA’s account document system, “Docuprint”.

2. Risk

• Adhere to and understand risks to the Company regarding Client data

4. Communication

• Liaise frequently with Compliance, Private Banking team as well as other Client Registry departments in the LO Group

Key Internal Contacts

Chief Operating Officer
Operations Officer
Private Bankers
Compliance

Head of Group Client Registry and Group Client Registry teams (across group)

Key External Contacts

5. Systems Used

Internal

Microsoft Office, Connaissance Client (Admin & Validation), DJ Client, G2, Client 1.5, Client Order
Ratification Tool, Docuprint, Nocli Manger, LA Scanning, Alphee

External

7. Legal and Regulatory Responsibilities

• Comply with all applicable legal, regulatory and internal Compliance requirements, including, but not limited to, the Local Office Compliance manual and Compliance policies and procedures as issued from time to time: Financial Security requirements, including but not limited to, the prevention of Financial Crime and Fraud including reporting obligations to the Money Laundering Reporting Officer.
• Maintain appropriate knowledge to ensure to be fully qualified to undertake the role. Complete all mandatory training as required to attain and maintain competence.