TA Team Leader – AML KYC

TA Team Leader – AML KYC


The TA Team leader will form an integral part of the Transfer Agency team, overseeing KYC, AML, Counter-Terrorism Financing and Tax obligations to the funds, applying group procedures and policies applicable to legislation and regulations.

Outline of main duties and responsibilities:

  • Ensure that the investors of the funds as well as the third parties meet their AML/KYC/CTF and tax (e.g. FATCA/CRS) obligations on an on-going basis;
  • Oversee the gathering of the documentation and risk assessments obtained during investor and account opening implementation and on-boarding processes, assess the adequacy and completeness of such in conjunction with agreed procedures;
  • Apply the required controls ensuring that non-compliant accounts are blocked and that appropriate chasing is performed and evidenced;
  • Implementing and managing all necessary oversight controls ensuring the compliance of the Company with all applicable legislations, regulations and internal policies as well as procedures;
  • Take ownership of rather complex cases and/or analyses, consulting with your line management;
  • Assist the administration team in ensuring that client files are compliant with applicable legislation, regulations and group policies aimed to the prevention of money laundering and terrorist financing;
  • Carry out sanctions and PEP list screening procedures;
  • Deputise for the Transfer Agency Manager as required;
  • Coordinate and manage audit requests as well as with due diligence queries and visits;
  • Application of related technical skills
  • Participate and/or drive the projects relating to AML/KYC/CTF, tax, process and procedural changes
  • Liaise with clients, intermediaries and Key Account Managers


  • Have a minimum of 5 years’ experience in a Registration team and in AML/KYC/CTF and tax


  • Good knowledge of the current and new regulations;
  • Fluent in English, and knowledge of any other European language would be an advantage;
  • High level of Microsoft Office including, Word, Powerpoint, Outlook email and Excel;
  • Ability to communicate effectively with staff and management in a discrete and confidential manner;
  • Confidence and persuasiveness, with the ability to motivate colleagues and support the embedding of positive compliance and risk management culture;
  • Numerate with high attention to details;
  • Well organized with the ability to work autonomously and deal with busy workload;
  • Previous staff management experience is an advantage;
  • Self-motivated, mature and able to use initiative.

Learning and development:

  • You will receive training on a day to day basis by coaching and mentoring;
  • Personal development plan will be agreed on an annual basis;
  • Self learning;
  • Attendance to internal training including webinars, workshops and workgroups as may be required;
  • Attendance at external seminars and training events as may be required.


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