Client Onboarding Specialist (Series 7)

About the Role

With a strong customer service mindset, the Client Intake Specialist will deliver a responsive, high-quality onboarding experience, will communicate clearly with clients and business partners, and will help build confidence, trust and goodwill throughout the intake process. The Client Intake Specialist will act as the face of Loomis Sayles, setting the stage for a successful and welcoming client relationship, including with financial intermediaries, high net worth dual contract accounts, and institutional separate accounts.

Working directly with clients and their representatives, the Client Intake Specialist will be responsible for the successful end-to-end onboarding of new accounts. The Client Intake Specialist will ensure all onboarding requirements are completed accurately and timely, including documentation and anti-money laundering/know your customer (AML/KYC) initial reviews.  The Client Intake Specialist will work collaboratively with both internal and external parties, and will take initiative to resolve outstanding items, ensuring Loomis Sayles meets client expectations and deadlines. In addition, this role will collaborate with and provide backup to the AML/KYC team and will seek out and participate in broader onboarding team initiatives.

Job Responsibilities

• As the primary point of contact, provide white-glove, end-to-end onboarding service to new clients, delivering a responsive and service-oriented client experience. 
• Working as a liaison and central point of coordination for all responsible groups within the company, while helping clients and internal partners understand requirements and next steps.
• With consistent communication throughout the process, partner with Sales, Relationship Management, Client Administration, Legal & Compliance, Operations, the Investment Teams and other internal stakeholders to deliver coordinated, high-quality support to clients and business partners.
• Maintain accurate client and account onboarding information across internal systems to track the onboarding progress, supporting a seamless and dependable service experience for clients and internal stakeholders.
• With professionalism, clarity, and attention to detail and service, specific tasks include:
  • • Facilitate review of investment agreements, guidelines, fee schedules, complete AML/KYC reviews and due diligence requirements for new and existing accounts
    • Coordinate transfers in kind, amendments and changes to existing accounts
    • Manage derivative trading agreement set up
    • Review KYC documents and manage the AML process for new accounts
    • Respond to AML due diligence requests from brokers and custodians
    • Coordinate Markit system uploads
    • Manage Bloomberg LEI updates and annual LEI registration renewals

Qualifications & Education Requirements

• Bachelor’s degree or appropriate equivalent experience
• Series 7 License – REQUIRED, NO EXCEPTIONS
• At least five years of financial industry experience preferred

Experience and Knowledge

Experience in working in the investment industry with institutional clients, financial advisors, high-net-worth clients and/or financial intermediaries, with demonstrated familiarity with investment products as well as industry and contract terminology.

Skills and Competencies

• Client focused mindset with strong service orientation and a can-do attitude
• Excellent communication skills (written and spoken)
• Ability to build effective relationships with internal and external stakeholders (at all levels of client and firm)
• Demonstrated process and procedure orientation with the ability to prioritize and multitask several competing high priority projects simultaneously with a sense of urgency
•  Exceptional organizational skills with a high level of attention to detail and follow up
• Proven ability to work independently and to take initiative
• Intellectual curiosity and willingness to learn
• Dependability, flexibility and willingness to work extended hours when needed