Senior Registration Data Management

The Transfer Agency Senior Registration Administrator interfaces with the investors, ensures a timely processing of client documentation and account opening in accordance with standards set, maintains the shareholder registers and ensure that client documentation and client transactions are KYC/AML checked. He/she may participate in TA related projects.

Responsibilities

• Adhere to the relevant AML/KYC standards applied on behalf of the customers while all regulatory, compliance, risk management and due diligence controls are respected (e.g. 4 eyes principle)
• Be the contact person for Clients and Investors for operational issues and support during the account opening process
• Take ownership of rather complex cases and/or analyses, consulting with your line management, senior management and compliance where necessary
• Use appropriate tact and diplomacy when exchanging complex or sensitive information with internal or external stakeholders
• Reception of investor AML/KYC documentation
• Ensure that investor AML/KYC documentation is verified in a timely manner
• Diligently verify account openings and/or account maintenance changes in line with the applicable procedures and in a timely manner
• Follow up with investor on missing or original documentation
• Screening and verification of investor names against sanction/black lists
• Perform the investor account opening in the TA systems as appropriate
• Ensure that investor accounts are blocked as and when required
• Perform the investor static data change within the TA systems as required
• Ensure accurate and complete data input into the relevant systems, including FATCA and CRS data; maintain data integrity and standards as per the levels applied by Management
• Ensure investor documentation is up to date as required
• Scanning, filing and archiving of investor data
• Resolve complex client issues
• Internal/external reporting on blocked accounts
• Transactions trend monitoring and reporting
• Assist internal/external audit as required
• Perform function in line with the department procedures and policies Act in respect of the regulatory framework, the internal procedures, guidelines and code of conduct.

Background

• Good working knowledge of Microsoft Office (Word, Excel, Access)
• Excellent communication skills and a truly client servicing mindset;
• Good interpersonal skills, and sense of teamwork.
• Committed to self-improvement.
• Expertise in the Transfer Agency business and fund industry
• Excellent analytical skills
• Ability to work autonomously and remain calm under high pressure.
• Ability to deliver within agreed deadlines
• Perfect command of English, any other language is an advantage