Transfer Agency, KYC, HKD60k
Location : Central and Western District
Post Date : 14 February 2017
Our client is a privately-held financial institution and serve across Investment Management, Private Banking, and Investor Services throughout North America, Europe and Asia. This role will be responsible for directing team members within the On Boarding Team and will involve working closely with, and providing support to, the manager to ensure the team operates efficiently and that deadlines are met.
- Overseeing the day-to-day activities of the TA AML / KYC Investor On Boarding team.
- Review the application of group AML standards to new investor files for varying entity types prior to onboarding.
- Ability to exceptions to the standards that will require risk assessment and escalation to senior management.
- Review and escalation with Compliance, Senior Management any issues
- Actively participate and work with relationship managers and TA Production Support in the launch of any new or incremental business such as new funds/share classes, including account opening.
- Oversee the accurate preparation of any sample files required for internal or external audits
- Possess an in-depth understanding of AML/KYC due diligence requirements on a range of institutional clients types with different legal structures, in all jurisdictions, to support businesses across various product groups and regions.
- Fully conversant with offshore and onshore AML/KYC rules and regulations
- Review publicly available sources for information pertaining to client due diligence (e.g. Stock Exchange)
- Assist in drafting and documenting procedures, policies and processes as necessary
- Follow up and oversee the remediation of accounts that are non-compliant to in adherence with current local regulations/internal policies
- Minimum of 8-10 years Transfer Agency experience, 5 years of which must be in an AML/ Compliance or Risk function.
- Subject Matter Expert level of AML/KYC legal requirements aligned to current regulations from an Operational/Compliance or Risk background.
- Ability to liaise and coordinate across departments/functions/offices when needed to handle specific client requests, global projects and initiatives
- Ability to identify, recommend and implement improvements to existing processes
- Fluency in spoken and written English is mandatory; fluency in Mandarin is an advantage.
- Knowledge or prior experience of Multifonds TA is considered essential
- Good knowledge of standard Office applications. (MS Word, Excel, Powerpoint)
- Must have strong client relationship and communication skills and be able to participate in client meetings scheduled and ad hoc
- Remain knowledgeable of changing industry initiatives
To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.
41 Connaught Road