Review and approval of global AML/KYC requirements for varying investor types
Follow up and oversee the remediation of accounts that are non-compliant to in adherence with current local regulations
Review and discuss with the AML/KYC Manager, Compliance, Senior Management any issues including issues requiring escalation
Ensure that policies and procedures are adhered to on a daily basis and have this evidenced.
Actively participate and work with Client Service Managers
Support in the launch of any new or incremental business such as new funds/share classes, including account opening.
Follow up on AML/KYC due diligence requirements on a range of institutional client types with different legal structures, in all jurisdictions, to support businesses across various product groups including Real Estate Funds and Equities
Assist in drafting and documenting procedures, policies and processes as necessary
Remain knowledgeable of changing industry initiatives
Establish solid contacts with all areas and all levels at clients’ organizations as well as inter departmental
Responsible for the cross-training of staff on all aspects of Transfer Agency functions to develop depth and breadth of knowledge
Co-ordinate both team and individual meetings
Minimum of 8 years’ experience, 6 years of which must be in a similar function, i.e. TA AML
At least 3 years supervisory experience
Good knowledge of AML legal requirements aligned to current regulations
Excellent interpersonal, communication and leadership qualities
If you are interested in making this position yours, please contact Garth McKeown, click apply below
Voted Best in Practice Accounting & Finance 2017, 2015 as well as 2013 & 2012, Quest is a team of experienced and professional Financial Recruiters dedicated to recruiting Financial Services Professionals. Our reputation for consistent delivery and extensive industry knowledge is second to none. We continue to look to the future; striving to improve continuously on our quality of service and passion for delivery.
Tagged as: AML, KYC, Transfer Agency
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