TA Team Leader – AML KYC

Introduction:

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

 Experience

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

Skills

• 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.