Customer Service & Operations, Customer

Client Operations Analyst

Closing date for applications: 29/02/2024

#R-00227129

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.

The NatWest Markets Client Services team is accountable for improving our customer experience and control environment through oversight of the processes impacting customers across the Client Lifecycle. The team is part of our First Line of Defense, directly interacting with business, clients and global execution teams to ensure sound operation of Financial Crime and other Client Lifecycle Controls. NatWest Markets has created an opportunity for an organized and detail-oriented person to learn the skills that will help deliver these outcomes.

Your role

Do you enjoy working on a collaborative team to provide strong customer service to both internal and external clients in a well-controlled environment? Are you motivated to contribute to the team and company culture in a valuable way?

This opportunity will focus on these areas of accountability:

Broker-Dealer Client Operations Control Processes:

• Own a variety of daily, monthly and quarterly control processes as part of client operations supervision framework
• Manage client communication as an output of control these control processes, remedial activities, returned statements, etc.

Financial Crime and Supervision Control Operation:

• Understand NatWest Markets Customer Due Diligence requirements and related procedures
• Assess customer files and provide sign-off, escalating with justification to team leads when necessary (e.g., related to High Risk clients, requirement waivers, escalations, PEP declassifications, etc.)
• Support individual supervisory controls designed to oversee activities performed by our global support teams, or to ensure key control points during the client lifecycle are operating effectively
• Work with global execution teams and central Control leads to refine processes and improve procedure documentation

Support of other Client Operations responsibilities

• Manage new account and static data changes for high touch FX micropay customer, building relationships with Sales and India Settlements Operations staff to ensure smooth delivery
• Support customer data setups specific to our US business or related to global end of day trading

Your experience

• Attention to detail, strong work ethic, good humor and enthusiasm for tackling complex challenges
• Ability to drive multiple projects simultaneously, with effective resolution of competing priorities
• Advanced technical skills using Microsoft Office
• Willingness to seek input from team members and to appropriately manage escalations
• Preferred: familiarity with CDD, KYC and Financial Crime standards along with 1 year experience in investment banking operations, compliance or law
• FINRA Series 99 eligible

The expected base annual salary range for this position is $55,000 - $70,000 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.