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Transfer Agency Registrations and Refresh Oversight
il y a 1 semaine
Job Summary
The Transfer Agency Registrations and Refresh Oversight team handles assessment of complex know your customer (KYC)/anti-money laundering (AML) cases in Luxembourg Transfer Agency (TA) Operations.
The main function of the team is to perform Oversight tasks on the initial and ongoing due diligence and investor identification process for the investor accounts and to assess any applicable KYC requirement as part of annual re-identification exercises.
This includes financial crimes compliance covering AML, sanctions screening, controls regarding the financing of terrorism, bribery, or corruption.Job responsibilities
- Provide oversight to processing teams to ensure accuracy and timeliness of the AML/KYC assessments as per KYI Matrix and policies
- Perform oversight controls of KYC Refresh teams based outside of Luxembourg
- Track pending AML /KYC documentation per investor account and per fund promoter and answer related queries within SLA
- Run, review and update AML reports and provide these reports to Clients/Investors
- Contribute to any audit related exercises (e.g. SSAE16, Long Form Report, Internal/External audit, Quality Analyst etc) as required by Compliance and by the business
- Review transaction monitoring screening matches and analyse potential suspicious activity.
- Ensure that AML/KYC team objectives and processes are aligned with larger strategic initiatives
Required qualifications, capabilities, and skills
- Minimum of 7+ work experience in a similar position with in depth knowledge of the Luxembourg Fund Industry.
- In depth understanding of local antimoney laundering laws, rules and regulations, in particular circulars and laws issued by the CSSF as relates to AML/CFT.
- Project Management Skills and Client facing skills would be considered a distinct advantage.
- Proven knowledge of regulatory requirements and an ability to translate them into operational/process requirements.
- Ability to work in partnership with the larger Compliance group.
- Openminded and capable of building productive working relationships.
- Organized, proactive and communicative with an ability to take initiative and assume responsibility
Preferred qualifications, capabilities, and skills
- Fluency in English and German, French or other European languages would be considered a distinct advantage.
- Master's Degree or Equivalent an advantage.
Morgan is a global leader in financial services, providing strategic advice and products to the world's most prominent corporations, governments, wealthy individuals and institutional investors.
Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success.
We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law.
In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.
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