IFDS - 389 - Transfer Agency, Registration (AML), Officer
Leadership & Resource Management
- Ensure an effective operating model is in place to meet Client SLA obligations.
- Strive to exceed customer expectations, and ensure your team does likewise.
- Investigate and resolve or escalate client issues promptly and support the resolution as necessary.
- Foster strong working relationships with your Client and colleagues to ensure an effective operating model is in place to provide a superior customer service.
- Work with the Registration Assistant Vice President and Client Relationship Manager to identify and address areas for improvement.
- Lead a team to ensure that investor accounts are opened or reviewed accurately, timely and in accordance with regulatory requirements.
- Foster an environment where team members are developed, trained and mentored to bring them to a high level of expertise and service skills, making use of the Training resources provided.
- Identify efficiencies and improvements in processes and controls, and work with Senior Management and peers across the organization to implement enhancements.
- Make sound operational decisions including, but not limited to, work priorities and resourcing requirements, anti-money laundering assessments, risks and controls.
- Handle and resolve complex or unusual operational and resourcing problems that are referred from above and below.
- Support team participation in the completion and implementation of department wide projects and lead local team initiatives as required.
- Act as a point of escalation for team members or colleagues and assist with queries; manage these to resolution, with the support of team management if required.
- Assist more senior colleagues and peers when required to do so and deputise in their absence.
- Promote a positive working environment and be a positive influence on the team.
Risk & Regulatory
- Work closely with your team members and manager to communicate your requirements and to understand theirs.
- Ensure all communication with clients or investors is accurate, clear and concise and delivered in a highly professional manner, whether written or verbal.
- Prepare reports for clients or Senior Management on incidents, proposals or other areas as required.
- Work with your direct reports to develop their report writing skills and to ensure that all written communication from the team is of the highest standard.
- Foster a strong culture of control and accuracy within your team, and ensure awareness of and adherence to procedures and key controls at all times.
- Have a good knowledge of provisions of AML regulations and be familiar with and understand regulatory requirements in relation to tax reporting as they affect investor account set-up and maintenance
- Ensure you and your team escalates issues and concerns proactively and timely. Thoroughly investigate issues and propose and implement solutions to prevent recurrence.
- Ensure the team procedures are operationally sound with an emphasis on risk reduction and regulatory compliance; ensure procedures are in place for all tasks.
- Facilitate internal and external audits and ensure all sampling and management input is provided on a timely basis. Ensure items identified by auditors are addressed on time.
- Excellent analytical skills, with the ability to concisely and effectively communicate results of analysis and proposals to senior management and Clients, both verbally and in writing.
- Experience managing a team, processing high volumes accurately against tight deadlines.
- Excellent administrative and organisational skills, with the ability to multi-task, prioritize and to work calmly under pressure.
- Strong attention to detail and risk awareness.
- Good knowledge and practical experience of dealing with Anti-Money Laundering regulations.
Preferred Knowledge, Skills & Experience
- Team oriented and enthusiastic with the ability to work independently and as part of a team.
- Sound procedural, technical and product knowledge of the Transfer Agency business is desired.
- Typically candidate will have 6-8 years' experience in a similar environment, including at least 1-2 years' experience in a management capacity.
This position is open to receive applications up to an including 22nd November 2019