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Investor Services Lead
3 months ago
Job no: 563495
Work type:
Full time
Location:
Sydney, Australia, Australia
Categories:
Funds
Office Location:
Sydney
JOB PURPOSE
The
Investor Services Manager will take overall responsibility of the KYC/CFT/AML and investor onboarding process, and ensure our clients are in compliance with the applicable AML laws & regulation with regards to investor onboarding.
KEY RESPONSIBILITIES
- Manage and Review AML/KYC documents and workstreams for all entity types. i.e Corporates, foundation/ Charities, institutional Investors, designated bodies etc.
- Ensure initial investor KYC work is conducted in an efficient manner.
- Proactively set out timeline with clients so that expectations can be managed. Delays and slippages are promptly highlighted so that they can be addressed.
- Act as the primary contact for investor onboarding and AML/KYC matters. Ensure work deliverables are completed within the agreed time frame.
- Individual should be well versed with any or all AML guidance for Australia.
- Individual should have working knowledge of any or all of screening tools such as WorldCheck.
- Possess working knowledge of FATCA/CRS reporting.
- Individual should be able to keep records, policies and procedures in good order and perform regular remediation activities as per the risk rating of investors.
- Take ownership of the investor onboarding/KYC/AML process and actively look for ways to improve and adopt best practices.
- Ensure the team is familiar with the procedures and are following the process.
- Build a strong relationship with key clients through open dialogue. Ability to manage a large a portfolio of clients and investors. Attend facetoface meetings if necessary.
- Maintain proactive communication with all team members and stakeholders on client deadlines and ad hoc requests to allow them to accommodate periods of absence and/or peak demand.
- Detailed understanding of the scope of services provided by TMF.
- Proactively managing ad hoc requests from clients and discuss with senior colleagues if necessary. Work with the fund accounting team to ensure timely issuance of fee notes (including any agreed ad hoc work outside the scope of services) and collection of fees.
- Attending to queries from internal/external auditors, thirdparty compliance officers and regulators on controls and provide evidence upon request.
- Supporting the Head of Department in managing adequate resourcing of the team, including undertaking recruitment interviews.
- Liaise with Group functions, specifically in the latest AML/CFT regulations and sanctions checking, risk assessments, governance frameworks.
- Establish and maintain constructive relationships with the respective regulators, auditors and other relevant
- In addition to the duties listed above, the Investor Services Manager may be requested to perform other ad hoc duties or compliance projects as requested.
PROFESSIONAL EXPERIENCE AND QUALIFICATIONS
- Bachelor's Degree in Business, Commerce, or in a relevant discipline.
- Minimum 5 years of relevant experience gained either in an inhouse compliance team, or providing investor AML/KYC services for fund administration provider within the fund industry.
- Strong knowledge of AML/CFT regulations in Australia in a must.
- Compliance qualification is preferred.
- Ability to work on own initiatives, with strong analytical skills.
- A fast learner and able to work under minimum supervision.
- People management experience is an advantage.
- Positive attitude and team spirit is a must.
- Prior experience in similar AML/KYC, Compliance or Transfer Agency functions.
Advertised: 01 May 2023 AUS Eastern Standard Time
Applications close: 30 Jun 2023 AUS Eastern Standard Time
