Client Onboarding Associate/KYC

Perennial Resources International; New York (NY); On-site; USD 65,000 - 95,000; Full time

Job summary

Perennial Resources International is seeking an Onboarding Associate to join the Underlying Principles onboarding team in New York. You will work closely with Front Office Sales/Trading, internal stakeholders and external clients to onboard and complete new client onboarding efficiently.

Key responsibilities include reviewing submissions for funds and entities, obtaining KYC/AML documentation, and ensuring regulatory compliance across onboarding processes.

Qualifications

• SIE & Series 99 certification or willingness to obtain within 6 months.
• Fenergo familiarity for onboarding technology.
• Strong analytical skills with high attention to detail.
• Excellent written and verbal communication.
• Ability to work independently and manage multiple priorities.

Responsibilities

• Review onboarding submissions for funds and investment manager entities.
• Coordinate with Front Office, Legal, Compliance, and clients to gather KYC/AML documents.
• Verify account opening forms, tax forms, ADV, and related documents for accuracy.
• Ensure onboarding docs comply with MUSO policy and regulatory requirements.
• Manage onboarding priorities to meet deadlines.
• Create client records with correct classifications and activities.
• Conduct OFAC and adverse media screenings.
• Review Dodd-Frank documentation for compliance.
• Collaborate with Legal, Sanctions, Tax, and Ops teams to facilitate onboarding.
• Utilize external research sources like EDGAR and Secretary of State databases.
• Identify process improvements and efficiency opportunities.

Skills

Client SIE & Series 99

Fenergo familiarity

Analytical skills

Written & verbal communication

Self-motivated

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.