Investor Onboarding Specialist

6 days ago

Melbourne, Victoria, Australia beBeeInvestorOnboarding Full time $180,000 - $200,000
AML Specialist - Investor Onboarding Expert

This role plays a pivotal part in our company's operations and the processing team, with a focus on Investor onboarding into our client funds.

The position requires thorough review and determination of investors' compliance with AML/KYC, CRS/FATCA, and DDO requirements for our Asset Manager or Custodian clients.

Main Responsibilities
  • Conduct due diligence by monitoring customers' accounts according to AML/KYC, CRS/FATCA, and DDO standards
  • Perform customer reviews by gathering information from public sources, source tools, and customers
  • Undertake Customer Due Diligence (CDD), Enhanced Customer Due Diligence (ECDD), Politically Exposed Persons (PEP), and sanction screening reviews
  • Identify suspicious behavior through transaction monitoring
  • Prepare and report Suspicious Matter Reports (SMRs)
  • Determine tax residency of account holders to identify reportable accounts
  • Apply due diligence procedures as outlined in Annex I of the FATCA Agreement and CRS rules
  • Maintain documentation and evidence supporting due diligence outcomes
Key Deliverables
  • Prompt escalation of identified issues within specified SLAs
  • Primary contact for queries regarding account setup applications from the team and internal stakeholders
  • Provide Subject Matter Expert (SME) support to both onshore and offshore teams regarding account setup queries
  • Respond to information requests by reviewing and preparing KYC documents for Low, Medium, and High-risk customers
  • Manage own work allocation and meet daily and monthly productivity targets
  • Maintain accurate and timely updates in metric trackers and workflow systems
  • Collaborate with teams across risk, compliance, and technology
  • Support a culture of continuous improvement and operational excellence
Accountabilities
  • Manage and complete deliverables according to agreed client SLAs
  • Support ad-hoc projects and enhancements related to AML/KYC and CRS/FATCA processes within the department and wider business as required
  • Assist with periodic reviews and updates of procedures and checklists across all clients to ensure accuracy
Requirements
  • Strong knowledge of AML/KYC rules and requirements as per AUSTRAC AML guidelines is essential
  • Experience working with various entity types including funds, trusts, and corporate structures
  • High attention to detail and consistent focus on quality and compliance
  • Excellent written and verbal communication skills
  • Proven ability to meet targets in fast-paced, high-pressure environments
  • Experience conducting peer quality reviews, with ability to give and receive constructive feedback
  • Inquisitive mindset with willingness to investigate, identify issues, and propose solutions
What You Will Bring
  • At least 3 years of experience in AML/KYC operational due diligence or compliance roles, preferably within financial services or fund services
  • At least 3 years' experience specifically with Onboarding of investors in CRS/FATCA and DDO within unit registry/transfer agency
  • Strong interpersonal and client engagement skills, with experience influencing stakeholders
  • Demonstrated capabilities, with collaborative and proactive approach
  • Bachelor's degree in business, finance, or related field; AML/Compliance certifications are an advantage

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