Job title: Client Compliance AnalystLevel: JuniorRole Overview: We are seeking a Client Compliance Analyst to conduct mainly structured compliance calls with clients. The role involves validating client understanding, confirming documentation, and ensuring the alignment of investment advice with regulatory and internal standards. Key Responsibilities: Conduct scheduled compliance calls with clients to: Confirm signed documentation and investment details;Verify personal details: date of birth, passport number, occupation, etc.
Ensure client understanding of their risk profile and investment strategy;Confirm investment amount, product type, and applicable charges (annual and initial fees);Ascertain intended investment duration and future plans;Reconfirm advice provided by the advisor and overall investment recommendation;Collect client feedback on their experience with the advisor and consultant;Maintain accurate records of all calls and client responses;Escalate any inconsistencies or concerns to the compliance department;Collaborate with the compliance team to support ongoing regulatory obligations and compliance duties. Requirements: At least 3 years experience in compliance, client servicing, or financial services preferred. At least a degree holder.
Strong communication and interpersonal skills. bility to conduct calls professionally and sensitively. Familiarity with investment products, risk profiling, and DFM is an advantage. Fluency in English (additional languages a plus).
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