Operations Client Onboarding Executive

About the role

We are a MAS-regulated financial services firm operating across wealth and asset management, through both a securities entity and an asset management entity. Bringing clients on board cleanly, screening them properly, and keeping our records accurate and audit-ready is central to how we serve clients and meet our regulatory obligations. We are looking for a detail-oriented Operations Client Onboarding Executive to own client onboarding across both entities and to support the wider operations function - including trade operations, reconciliations, funds distribution, and compliance. This is a hands-on operational role with real responsibility. Because we operate in a regulated, finance-sector environment and handle sensitive client information daily, the role demands accuracy, sound judgement, discretion, and a compliance-first mindset. You will act as the primary point of contact for onboarding matters and work closely with clients, counterparties, distribution partners, and our internal Compliance and Operations teams.

Responsibilities

• Client onboarding and periodic review (across both entities)
• Serve as the primary point of contact for all client onboarding matters, coordinating with clients and internal stakeholders to deliver a smooth and timely onboarding process.
• Coordinate the collection, review, and maintenance of corporate and onboarding documents, ensuring documentation remains current and complete in line with risk-based onboarding checklists tailored to each client's profile and risk classification.
• Onboard Accredited Investors (AI) and Institutional Investors (II), conducting preliminary risk assessments and identifying matters requiring Enhanced Due Diligence (EDD) or standard Due Diligence (DD).
• Conduct preliminary screening and due diligence checks on prospective clients and counterparties before establishing new business relationships.
• Perform name screening and adverse media screening on parties subject to EDD, escalating potential matches where appropriate.
• Conduct periodic reviews of existing client accounts to ensure ongoing compliance with regulatory and internal requirements.
• Funds distribution and investor onboarding
• Coordinate the onboarding of investment funds, ensuring all required documentation and onboarding requirements are completed accurately and on time.
• Act as the primary liaison with fund distribution partners, facilitating effective communication and the smooth execution of onboarding and investment processes.
• Manage investor onboarding on distribution platforms, accurately inputting investor information and supporting the subscription process.
• Perform Know Your Customer (KYC) reviews on sub-distributors' investors, including the assessment and verification of Accredited Investor status.
• Coordinate the submission of complete and accurate investor documentation within required timelines.
• Trade operations and account setup (backup support)
• Provide backup support to the trade operations function, preparing and distributing trade confirmations to clients and counterparties accurately and on time.
• Liaise with counterparties, custodians, and clearing agents to facilitate timely settlement, proactively identifying, investigating, and resolving settlement issues to minimise settlement failures and operational risk.
• Verify the eligibility and settlement readiness of securities (e.g. ISIN validation) with clearing agents prior to settlement.
• Prepare and distribute monthly trade recap reports, and perform trade reconciliations with equity brokers to confirm the completeness and accuracy of executed transactions, resolving discrepancies promptly.
• Maintain accurate, organised records of trade-related documentation, including trade confirmations and settlement correspondence.
• Monitor changes to market exchange fee schedules and update internal trading systems so trading fees are applied correctly.
• Create and maintain client sub-accounts, set up and maintain Standard Settlement Instructions (SSIs), and configure client and counterparty accounts within the trade blotter system to support efficient processing.
• Securities reconciliation
• Reconcile custodian and internal records, investigating discrepancies and taking appropriate corrective action to resolve exceptions promptly.
• Conduct reconciliations across the relevant client and house accounts, identifying and addressing variances.
• Review corporate action events to identify transactions not yet captured in the books and facilitate their timely recording. Liaise with the custodian bank to investigate, clarify, and resolve reconciliation discrepancies.
• Conduct an independent quality review of client statements and reports prior to distribution, providing a second level of verification for accuracy and completeness.
• Compliance, corporate documents, and governance
• Ensure client onboarding frameworks, policies, and procedures remain current and compliant with applicable regulatory requirement

Your Match

How well this role fits your profile.

Company Intel

What employees say

Worked at CONDUIT PTE. LTD.? Share your experience