Onboarding Counsel

  • Location

    Chicago, Illinois

  • Sector:

    Banking & Financial Services

  • Job type:

    Permanent

  • Salary:

    £130000 - £160000 per annum + 180,000

  • Contact:

    Maria Talebian

  • Contact email:

    mariatalebian@taylorroot.com

  • Job ref:

    AML2_1555606779

  • Published:

    about 1 month ago

  • Expiry date:

    2019-05-18

  • Startdate:

    01/05/2019

  • Client:

    #

  • Consultant:

    #

Onboarding Counsel Role

Responsibilities

  • Providing the firm's New Accounts teams with day-to-day legal advice on application, AML and sales-related questions, and escalate significant issues or questions to senior Legal personnel or firm management;
  • Addressing specific business arrangements or client issues with potential clients;
  • Assisting the New Accounts team with Know-Your-Customer questions;
  • Interacting with clients or their counsel regarding the firm's account opening requirements and other account-related questions;
  • Helping revise policies and procedures for the review and opening of new accounts in light of new regulatory guidance;
  • Advising the firm on the appropriateness of proposed transfers of assets from or between customer accounts;
  • Identifying necessary changes to the firm's systems and procedures to meet new applicable regulations.

Qualifications

  • 2-6 years post-J.D. experience at a law firm, financial services regulatory agency, exchange or broker-dealer.
  • Solid knowledge of domestic regulations regarding customer onboarding and diligence.
  • Member in good standing of the bar of any U.S. state or the District of Columbia.
  • Solid academic background.
  • Comfort with computers and technology, and understanding of how technology is applied to business and regulatory problems.
  • Outstanding oral and written communication skills.
  • Ability to work in a small-team environment and to work independently and to multi-task.

The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.