- Undertaking end to end client and counterparty onboarding and refresh including undertaking all aspects of the CDD process.
- Adhering to applicable internal and regulatory requirements relating to CDD.
- Following the Cowen CDD onboarding and refresh process accurately and efficiently.
- Conducting due diligence at all levels, including enhanced due diligence.
- Identifying ultimate beneficial owners, controllers and PEPs.
- Undertaking adverse media screening.
- Undertaking sanctions screening.
- Escalating concerns and discrepancies in CDD documentation to the appropriate staff.
- Tracking outstanding CDD requests and progressing these on own initiative.
- Observing CDD processing targets in terms of file quality and speed of review.
- Alerting suspicions to the MLRO.
- Ensuring CDD files maintained accurately using internally agreed upon protocols.
- Responsible for checking accounts against compliance guidelines.
- Communicate regularly with managers, traders, sales people, finance, and other designated contacts within the organisation to support the CDD refresh process.
- Perform other duties and responsibilities, as assigned.
- A relevant university degree in Finance, Accounting or Economics or related discipline, or recognised professional or equivalent qualification, or qualified by experience.
- Exhibit Cowen's Core Values
- Hard working and with the highest standards of personal integrity.
- Ambitious and self-motivated.
- Ability to relate well with others and build relationships.
- Excellent teamwork and ability to collaborate with others
- Ability to work in a fast-paced environment and meet tight deadlines
- Ability to multi-task, to perform effectively under pressure
- Rational and logical approach to problem solving
Cowen is an equal opportunity employer; we do not discriminate on the basis of any protected attribute. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.
Who We Are
Cowen Inc. ("Cowen" or the "Company") is a diversified financial services firm offering investment banking services, equity and credit research, sales and trading, prime brokerage, global clearing, commission management services and actively managed alternative investment products. Cowen focuses on delivering value-added capabilities to our clients in order to help them outperform. Founded in 1918, the Company is headquartered in New York and has offices worldwide.
At Cowen, inclusion and diversity are catalysts for success and innovation in everything we do. We pride ourselves on our empathetic and collaborative culture, where the power of diversity is harnessed to transform the status quo. Our focus on inclusion expands our thinking in order to generate better outcomes for clients, while striving to increase fairness and equity for our colleagues. Cowen's vision of creating a more inclusive and equitable future is supported by our core values and is essential to our ability to outperform.
Our Values
- Vision: We consistently deliver differentiated and disruptive insights that help our clients outperform
- Empathy: We proactively consider and account for the priorities and concerns of our colleagues and clients
- Sustainability: We endeavor to produce ideas and solutions that are ethically grounded and aim to pass the test of time
- Tenacious Teamwork: We elevate collaboration to new levels, empowering our ability to provide the best solutions for our clients.
Learn more at: https://www.cowen.com/ and https://www.linkedin.com/company/cowen-inc/
Privacy Notices and Policies | Cowen
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Protect Yourself from Recruitment Fraud. Recruitment fraud can be attempted through fake job postings, fake websites (posing as a Company) or unauthorized individuals impersonating recruiters (even using employee names). Depending on the role, Cowen will ask candidates to complete 2-4 interviews with Cowen employees before receiving an offer for employment. All communication regarding the interview process will come from an @cowen.com or @greenhouse.io email address. At no time throughout the hiring process will a Cowen recruiter or Human Resource Professional request any type of payment in order to be considered for the role. In addition, candidates will not be asked to submit personal information as a pre-requisite for the interview process.