Business Manager, Institutional Equities
Job in
New York City, Richmond County, New York, USA
Listed on 2026-03-05
Listing for:
CLSA
Full Time
position Listed on 2026-03-05
Job specializations:
-
Finance & Banking
Risk Manager/Analyst, Financial Analyst, Regulatory Compliance Specialist
Job Description & How to Apply Below
- Serve as the primary point of contact for new clients during the onboarding process, addressing inquiries and providing clarity on documentation requirements and process steps.
- Working with the Management team to set goals, create business cases and new initiative proposals.
- Help to drive project book of work and new business process.
- Source, review and verify all necessary documentation required for onboarding, including KYC, AML, legal agreements and other regulatory or firm-specific documentation.
- Manage and monitor the onboarding workflow to ensure all steps are completed accurately and in a timely manner, following established procedures and guidelines.
- Ability to communicate effectively with internal teams (IT, Compliance, Trading, Sales, Operations) to facilitate information flow, resolve issues, and ensure all departments have the necessary information to complete their tasks.
- Ensure all onboarding activities are compliant with relevant regulations (including FINRA rules) and internal policies, documenting due diligence efforts and maintaining audit-ready records.
- Continuously review onboarding practices to identify bottlenecks or improvements, contributing to process enhancements that reduce turnaround times and improve client experience.
- Maintain accurate and organized records of all onboarding activities, communications and documentation for audit purposes and ongoing review.
- Ability to prepare and deliver accurate weekly, monthly and quarterly management reports, providing clear insights to support decision-making and operational oversight.
- Stay current on regulatory requirements and internal policies related to client onboarding and contribute to team knowledge sharing.
- Bachelor's degree or above in Finance, Business or Economics
- Minimum 1 year of relevant experience in Finance
- Highly proficient with Microsoft Excel, Word and PowerPoint to perform analysis and develop presentations for senior management
- Strong organizational skills with attention to detail
- Ability to work independently and proactively address issues
- Excellent verbal and written communication skills
- Candidates must obtain the Series SIE and Series 99 licenses within 90 days.
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