Ais Investor Services and Aml/fatca, Vice President
il y a 2 semaines
Who we are looking for
The Investor AML Services tasks include Fund and investor onboarding and identification/verification of Investors, Registration of Investors, AML/FATCA level file reviews for investors entering into our contracted funds.
Sanctions and PEP screening of all Investor names/Connected parties, retention, labelling and loading of all AML Documents for these investors, Reporting for our clients, boards and MLROs or Investor AML statistics.
Other items include AML Audits (Internal and External), Remediation Projects of AML files, operational management of AML function and team members, building client and team member relationships.
- Client facing during onsite Due Diligence Sessions, Regulatory visits, MLRO visits, Sales pitches etc.
- Representation on Local Risk Committee Meetings to provide IS/AML Services overview
- Management and development of the Investor Services and AML/FATCA services teams/location.
- Lead and delegate onboarding projects & develop solutions for our clients.
- Provide sound oversight environment of all operational teams locally
- Monitor levels of unauthorised Investor AML accounts to put forth plans/timelines to clear all open items
- Ensure a greater awareness of the risk environment.
- The VP role has full accountable for controls within their teams and deploying new controls across the Investor Services and AML/FATCA services department.
- Manage direct reports and number of clients with multiple AVPs reporting to them.
- Generate a strategy and initiatives across the department.
- Maintaining highest levels of client satisfaction and monitoring client RAG status and deliverables
- Meeting quarterly and annual goals set across the department
What you will be responsible for
- Oversight and development of local Investor Services/FATCA AML teams client relationships ensuring the IS And AML service delivery and client requirements are consistently met or exceeded.
- Oversight and responsibility for the local AML statistics and mailbox control for their clients/teams.
- Full ownership of IS/AML onboarding client projects and new business implementation start to finish.
- Act as the key support for direct reports on client relationships matters and attend client meetings when required.
- Develop and build strong relationships with peer groups across the Investor Services departments and Global AML teams to better align the goals and work practices of each group.
- Act as the key person within the local AML Team to enhance the relationship with Regulatory, Risk and Compliance teams. Be fully involved in interpreting regulatory changes, understanding the operational impact for TA and providing challenges to the groups around regulatory implementation and the effect of such on TA and clients.
- Work to provide customer based solutions to clients whilst balancing the regulatory requirements against the client's needs.
- Work closely with internal State Street support functions (HR, Training, IT) to ensure thorough support is given to TA at every level.
- Management of 3rd party relationships, representing AIS AML with client MLROs, auditors, the Regulator, acting as a strong voice in the industry for Services AML items.
- Ensure the local IS and AML Team are fully resourced; work with Directors and Managers to assess needs and bring forward strong business cases to the MD's/SMD for approval of resources.
- Determine alternative strategies for resources management when necessary looking at cost effectiveness and technology measures such as automation and other efficiencies with the process etc.
- Work with directors and managers ensuring staff turnover is managed appropriately and ensure an engaged and motivated team environment. Act as a point of escalation of employee issues.
- Foster a team environment of regular communication, ensuring one to one meetings, PPR review are conducted and focus on development opportunities for direct reports.
- Attend weekly director meetings providing feedback on operational, client and industry matters, act as a lead in promoting issues/projects etc. in department for further decision making.
- Research and identify new technologies and best practices to harness stronger and a more controlled operational environment.
- Play a significant lead role in initiating and participating in the completion and implementation of department wide projects (local and global) and lead local team initiatives.
- Managing Relationships:
- Reports
- Engage in one to one meetings with direct reports, coaching team members, point of escalation
- Management provide direct support to MD's; provide regular status updates to manager.
Peers
- Strong alignment between AML, TA, Relationship management, and break down barriers that exist the team and build relationship to work together to better service the clients. Join directors meeting, provide inputs and recommend solution to overall TA issues
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