Ist Oversight Associate Senior

il y a 2 semaines

Luxembourg, Luxembourg Capital Group Companies Temps plein

Role summary:


As part of Capital Group growth plan in Europe and Asia we are expanding our IST (Investor Services Team) Oversight in our Luxembourg office to support the oversight of Luxembourg, Australia and UK domiciled funds (with the main focus on intermediaries and service providers).


More specifically, the Senior Associate will help perform due diligence on financial intermediaries distributing CG funds through initial, periodic and ongoing assessments well as monitor and document the quality of service provided by delegated service providers.


Responsibilities:

  • Ensures daily review of negative media/PEP and sanction screening hits pertaining to distributors and subdistributors across CG funds in Europe and Asia
  • Provides initial analysis of hit relevance and materiality, documents findings and escalates to the team as appropriate
  • Supports onboarding new distributors through gathering and review of KYD and due diligence documentation and risk assessment of such entities
  • At the later stage, drafts risk assessment on distributors and challenges response received to due diligence questionnaires
  • Assists delegated transfer agents in the annual AML renewal of investor due diligence documents
  • Helps oversee transfer agents appointed by management companies in Luxembourg, Australia and the UK by reviewing, gathering information and documenting issues and the quality of service provided
  • Reviews monthly KPIs received from delegates
  • Flags exceptions to relevant MLROs for their analysis and approval
  • Assists in review of FATCA/CRS annual reporting prepared by appointed transfer agents
  • Assists in preparation of regular reporting on service providers and delegates
  • Promptly alerts IST Oversight Manager of any issues identified
  • Contributes to any IST and/or Funds Platform projects as assigned
  • Contributes to the quality of team processes and business acumen
  • Reviews inhouse built data to strengthen the oversight framework
  • Identifies and flags process enhancements to the team
  • Administrative tasks as and when required
  • Performs additional responsibilities as assigned

Skills/qualifications:

  • Minimum of 34 years of proven experience within the fund industry, ideally with a strong understanding and practice of AML/KYC regulations. Previous roles in TA a plus
  • Strong verbal and written communication skills, with high English fluency. Second language a plus
  • Making sense of complex, high quantity and sometimes contradictory information to effectively solve problems
  • Proactive and responsive attitude with the ability to effectively plan and document one's workload and share with other team members
  • Demonstrates ability to effectively collaborate with others to meet shared objectives and develop/maintain relationships within Capital Group.
  • Demonstrates attention to detail in diligent analysis of issues and rigorous documenting of oversight activities
  • Ability to evaluate and appropriately address privacy and confidentiality concerns relating to access and manipulation of shareholder data
  • Eager to learn and explore knowledge and expertise in the area of delegate oversight with a strong focus on AML/KYC and KYD
  • Stays informed on industry developments and actively demonstrates curiosity and willingness to learn
  • Team spirit and collaborative attitude
  • Strong communication and organizational skills
  • Results driven

Working conditions:


THIS PRIVACY NOTICE ONLY APPLIES WHERE THE GENERAL DATA PROTECTION REGULATION (GDPR) AND RELATED EUROPEAN DATA PROTECTION LAWS GOVERN HOW THE CAPITAL GROUP PROCESSES OR HANDLES YOUR PERSONAL DATA.

THESE LAWS APPLY WHENEVER A CAPITAL GROUP COMPANY IS LOCATED IN EUROPE, OR PROCESSES PERSONAL DATA OF PERSONS WHO ARE LOCATED IN EUROPE.

If this Notice applies, please read it carefully because it explains how we use your personal data.

If this Notice does not apply, or you have any questions or concerns about how we process your personal data, please contact us using the details provided in clause M.


PERSONAL DATA COLLECTED
Capital Group (CG) considers the privacy of your personal data important.

Personal data is information provided which enables an individual to be identified directly or indirectly by reference to the information or data to be obtained or held.

We collect different data at different stages of the recruitment process.

The data we collect can include, but is not limited to, the following:

  • Demographic data. Your date of birth and gender.
  • Family data. Information about relatives who work for CG.
  • Right to work data. Your right to work in the country you will be employed.
  • Academic and professional experiences and qualifications. Education, CV/Resume, certifications and licenses, and language skills.
  • Regulatory body data. Approved person status by the UK FCA, license or authorization to conduct investment business, disciplinary action by a regulator.
  • Prior employment data. Dismissal or resignation from an employer, legal

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