Client Onboarding Associate/KYC

Perennial Resources International; New York (NY); On-site; USD 65,000 - 90,000; Full time

Job summary

Perennial Resources International is seeking an Onboarding Associate to join the Underlying Principles onboarding team. The role collaborates with Front Office Sales/Trading, Legal, Compliance, Credit, Ops, and external clients to onboard new accounts efficiently.

Responsibilities include reviewing submissions, obtaining KYC/CIP documentation, and ensuring regulatory and internal policy compliance while meeting deadlines and maintaining accurate client records.

Qualifications

• SIE and Series 99 licenses required or willing to obtain within 6 months.
• Strong analytical skills and attention to detail, with the ability to handle confidential client data responsibly.
• Excellent written and verbal communication skills.
• Self-motivated, able to work independently, manage priorities, and provide progress updates on requests and projects.

Responsibilities

• Review onboarding submissions for funds, SPVs, and other investment manager entities.
• Coordinate with Front Office teams and clients to obtain KYC/CIP, regulatory, and account setup documents.
• Review onboarding documents (account opening forms, tax forms, formation documents, ADV, suitability certificates, QIB, AML letters, Wolfsberg Questionnaire, Prime Broker Agreements) for accuracy, completeness, and relevance.
• Ensure onboarding documentation complies with internal audit, MUSO Policy, and global KYC/AML requirements.
• Manage onboarding priorities to meet deadlines.
• Create client records, ensuring alignment of client type, industry classification, business activities, relationship purpose, and products.
• Conduct OFAC and adverse media screenings to identify and assess client risk.
• Review Dodd-Frank regulatory documentation for completeness and regulatory compliance.
• Collaborate with Legal, Compliance, Sanctions, Regulatory, Tax, and Operations teams to facilitate timely onboarding and account openings.
• Utilize external research sources, including IAPD, EDGAR, GLEIF, Secretary of State databases, foreign registries, and Client Markit.
• Identify and support process improvement and efficiency initiatives.

Skills

SIE & Series 99

Fenergo

Analytical skills

Written and verbal communication

Independent/work prioritization

Tools

Fenergo

Job description

Onboarding Associate will be part of the Underlying Principles onboarding team and will work closely with Front Office Sales/Trading, Internal Stakeholders (Credit, Legal, Compliance, Ops) and external Clients to onboard and complete new client onboarding in a timely and efficient manner.

Major Responsibilities:

• Review onboarding submissions for funds, SPVs, and other investment manager managed entities.
• Partner with Front Office teams and clients to obtain required KYC/CIP, regulatory, and account setup documentation.
• Review onboarding documents (e.g., account opening forms, tax forms, formation documents, ADV, suitability certificates, QIB, AML letters, Wolfsberg Questionnaire, and Prime Broker Agreements) for accuracy, completeness, and relevance.
• Ensure onboarding documentation complies with internal audit, MUSO Policy, and global KYC/ AML requirements.
• Manage onboarding priorities to meet deadlines.
• Create client records, ensuring alignment of client type, industry classification, business activities, relationship purpose, and products.
• Conduct OFAC and adverse media screenings to identify and assess client risk.
• Review Dodd-Frank regulatory documentation for completeness and regulatory compliance.
• Collaborate with Legal, Compliance, Sanctions, Regulatory, Tax, and Operations teams to facilitate timely onboarding and account openings.
• Utilize external research sources, including IAPD, EDGAR, GLEIF, Secretary of State databases, foreign registries, and Client Markit.
• Identify and support process improvement and efficiency initiatives.

Skills and Competencies:

• Client SIE & Series 99 (or willingness to obtain within 6 months of hire)
• Familiarity with Fenergo
• Strong analytical skills and attention to detail, with the ability to handle confidential client data appropriately
• Excellent written and verbal communication skills
• Self-motivated with the ability to work independently, manage priorities, and provide progress updates on requests and projects.