What are the responsibilities and job description for the US Client Services and Onboarding, Vice President position at Natwest?

Qualifications, skills, and all relevant experience needed for this role can be found in the full description below.

This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business.

Purpose

The NatWest Markets US Client Services team is responsible for delivering a first-class customer experience across the client lifecycle at Natwest Markets. The team acts as part of our First Line of Defence, directly interacting with functions including : front office, external customers and global teams to ensure the operation of controls and processing related to Financial Crime, Client Account Management and Client Operations oversight.

Financial Crime Oversight

Responsible for the delivery and management of the first line financial crime activities
Ensure adherence to the organization’s global financial crime standards
Partner with global Oversight and regional second line Compliance team to maintain effective oversight of financial crime risk frameworks, systems and controls
Provide urgent first line decisioning support to our US Capital Markets business
Drive partnership with global teams to identify areas of process simplification to enhance the customer journey

Client Account Management

Build and maintain close partnerships with management stakeholders, sales teams, and clients to drive US onboarding prioritization

Identify areas of pre-trade customer journey process improvements, socialize with regional and global stakeholders and implement changes

Be part of a team to provide client lifecycle “one-stop-shop” for internal and external customers

Partner with global counterparts to support onboarding and offboarding ensuring US business requirements are adequately met

Client Operations Oversight

Maintain team’s Written Supervisory Procedure for covered function client onboarding as defined in FINRA Rule 3110

Proactively establish and monitor adequate controls to demonstrate supervision over client onboarding activities and ensure they are operating effectively

Partner with second line and project teams through regulatory change and understand and implement impact across client operations processes, procedures and technology

Lead first line response to all internal audit, external audit and regulatory exams

Conduct and Line of Defence

Comply with Our Code, Purpose, Values and relevant Policies

Respect and adhere to relevant regulatory obligations and Conduct Rules

This is a first line job, as described in the Three Lines of Defence Principles

Promote a culture where risk, including financial crime and fraud, is managed effectively, including prompt identification, escalation and reporting

Knowledge & Experience

In-depth knowledge of pre-trade client onboarding processes related to broker-dealer, swap dealer and capital markets businesses with experience across a wide range of regulatory requirements (AML / KYC, securities rules, Dodd Frank, etc.)

Ability to manage multiple tasks and projects and perform well under pressure in a demanding environment

Strong capability in building relationships and managing stakeholders

Experience delivering sustainable performance and driving operational excellence while committing to the appropriate level of supervision and control to manage risk

FINRA Series 99 or equivalent registration

The expected base annual salary range for this position is $125,000 - $175,000 at the start of employment. This is not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location. In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.

It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and / or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex, pregnancy / childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and / or local laws. Equal Opportunity Employer -Disabled / Veteran – review "EEO Is The Law", “EEO is the law- Supplement” & “Pay Transparency Provision” posters here.

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Salary : $125,000 - $175,000

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US Client Services and Onboarding, Vice President

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