Manager Transfer Agency Oversight – New ManCo

Manager Transfer Agency Oversight – New ManCo

Excellent new position as Manager Transfer Agency Oversight – New ManCo in Luxembourg. The position forms an integral part of the Institutional Client operations team.

Responsibilities:

Operational

Effective implementation of Transfer Agency and AML/CFT procedures and policies in Luxembourg

  • Management of Transfer Agency shared service delivery, overseeing compliance with internal and external SLA deliverables associated with the accurate recording of investor applications and transactions, application of relevant AML/KYC and fund rules, the handling of investor and/or client queries or incidents and the distribution of investor and management reports
  • Ensuring investor KYC files are accurately maintained by the teams responsible in conjunction with applicable AML/KYC procedures and policies on an ongoing basis
  • Oversee the gathering of identification, verification and transaction documentation and risk assessments obtained during investor on-boarding and periodic review processes, assessing the adequacy and completeness of such in conjunction with agreed procedures
  • Accurate processing and authorisation of investor transactions within the agreed time as per SLAs
  • Ensure daily/monthly timelines are drawn up and ensure the necessary controls are in place and adhered to
  • Document and improve processes and team functions
  • Allocation of the teams daily, weekly and monthly tasks and ensuring these are performed correctly and timeously
  • Monitoring of and reducing operational errors
  • Contribute to the achievement of the teams key performance indicators
  • Providing guidance to teams as to Transfer Agency and AML/KYC related escalations
  • Provide accurate, useful reports to management on matters related to the tasks and responsibilities.

Technical

Application of technical skills and advising the operational teams and clients on regulatory compliance technical queries

  • Acting as an expert in the AML process, procedures and systems
  • Assuming the role of AML/CTF compliance officer (subject to regulatory approval)
  • Being a liaison for regulators, internal audit and governance services for AML/KYC and Transfer Agency inquiries and audits.
Projects

Supervising and implementing local office, service line and team projects.

  • Responsibility for Risk Management
  • Responsibility for managing operational risk as to Transfer Agency and AML/KYC procedures and policies in Luxembourg, by reviewing processes and ensuring that adequate controls are in place to mitigate risk
  • Monitoring the control environment & culture to ensure that controls are effective and efficient.
Skills and experience required
  • A minimum of 5 years of operations experience in financial services administration, preferably within transfer agency/fund administration
  • A good working knowledge of processing investor level application / instructions is essential
  • Adequate knowledge of the Luxembourg legal and regulatory framework relating to AML/CFT is essential
  • People management/team leadership experience
  • Excellent financial services process and product knowledge
  • Excellent communication skills (written and verbal) and attention to detail, experience in client servicing is advantageous

Social

Apply Now