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.



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.


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.

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


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