Assistant Vice President Level 3

Transfer Agency Trade Processing Team Business- AML/KYC

Role Title- Specialist/Supervisor

The Transfer Agency Department provides Fund Administration Services to numerous Fund management companies covering the full range of shareholder servicing functions including Transaction processing, Reporting, AML and

Registration and Payments. The department is responsible for Client and investor document management, processing and quality checking of transactions and updating the registers of clients in response to investor instructions.

This role is to perform BAU activities in the TA department to ensure that not only Client Service Level Agreements are consistently met and/or exceeded but also to ensure that regulatory requirements are effectively met. Candidates should be

flexible enough to work in 24*7 environment.

Key duties and responsibilities

• Discuss recently released guidance or changes in common approach during team meetings.
• Individual/You should have a working knowledge of any or all of screening tools viz. World Check, Pythagoras, Lexus-Nexus etc.
• Individual/You should be able to perform quality reviews for all entity types. i.e. Corporates, foundation/ Charities, institutional Investors, designated bodies etc., based on the Anti-Money Laundering (AML) policies and guidelines.
• Individual/You should be well versed with Microsoft applications. Expertise in excel and presentation skills is an added advantage.
• Individual/You should be able to identify and document the results of the quality reviews and proposed remedial actions.
• Individual/You should be able to provide clear feedback to associates and coaching as needed.
• Individual/You should be accountable for BAU, Remediations and Periodic review service delivery of Investor KYC ensuring service level agreements are met.
• Individual/You should be well versed with any or all AML guidance for Cayman, Delaware, Australia, Ireland, Bermuda etc.
• Mentor and ensure smooth induction of new hires in the process.
• Participate in team discussions to provide feedback and recommendations in order to improve quality performance of the associates and senior associates on a regular basis.
• Reach the quality and production target.
• Report/escalate any quality, production, and system-related issues.
• Work extensively with various teams across global locations to fulfill an entitys KYC requirements as mandated by compliance and regulatory standards.

• Individual/You should have working knowledge of FATCA/CRS reporting. He/She should be able to review US tax forms i.e., W9, W8-BEN, W8-IMY, Withholding statements etc.
• Individual/You should have good written and verbal communication skills.
• Individual/You should be able to keep records in good order and perform regular remediation activities as per the risk rating of investors.
• Individual/You should be able to work separately and also collectively in a group as the situation demands.
• Individual/You should be able to create the required reports in time, without any reminders.
• A positive attitude and team spirit is a must.

Qualification and Experience

• Flexible enough to work in any shift as per business needs.
• Prior Transfer Agency processing experience is required.
• Bachelors degree in commerce is desired.
• 10-12 years of relevant experience

Skills Required

• Strong analytical skills
• Responsible for meeting all client deliverables.
• Ability to navigate proficiently in a window environment.
• Strong knowledge of Microsoft Excel & Word.
• Ability to write messages in a clear and concise manner.
• Ability to read, write & speak English proficiently.
• Strong research, resolution, and communication skill
• Interpersonal skills - Relationship builder, respectful and resolves problems.
• Communication skills Presentation skills, listening skills, oral & written communication skills.
• Self-management - Adaptability and resilience, learning behavior, integrity and ethics and relationship build. Motivational skills - Performance standards, achieving results and persistence.
• Innovative thinking - Creative thinking decision making, input seeking, logical thinking and solution finding.
• Attention to detail and ability to work on multiple tasks.
• Flexible enough to work in any shift as per business needs.
• Prior Transfer Agency processing experience is required.
• Bachelors degree in commerce is desired.
• 10-12 years of relevant experience