Oversight Manager
il y a 2 jours
The principle objective of the position is to ensure that all investor and agent records on the transfer agency and paying agent register are compliant with all anti-money laundering policies and procedures;Drafting procedures and processes; ensuring that procedures, processes and system are updated...
**Description**
- The principle objective of the position is to ensure that all investor and agent records on the transfer agency and paying agent register are compliant with all anti-money laundering policies and procedures;
- Drafting procedures and processes; ensuring that procedures, processes and system are updated according to new policies and regulations, governance and recertification with the transfer agent and distributors;
- Ensure compliance with Luxembourg know your customer and anti-money laundering regulations when assessing investor and agent documentation;
- Ensure timely and accurate responses to all account opening requests together with the provision of regular reporting;
- Engage and support investors and clients on transfer agent and distribution related matters;
- Monitoring daily the transfer agent activity including annual ongoing due diligence exercise;
- Work closely with internal Compliance and RC, when reviewing complex account opening requests and seek appropriate solutions;
- Identify and escalate risk issues in accordance with internal policies;
- Support and service distributors interactions with the transfer agent and prepare special reporting, if needed;
- Initiate and lead system change projects and participate in the operational reviews and readiness phases;
- Lead and manage the negotiation of contracts and SLAs associated with the transfer agent activity;
- Engage in all audit reviews whether internal or external preparation of audit packs and be comfortable responding to auditor's questions;
- Ensure timely and accurate transfer agent reporting to investors, distributors, CSSF; and monitoring the content of these reports;
- Prepare monthly reporting to the senior management and quarterly reporting the board of directors;
- Provide marketing and sales support including managing online profile, mailings and dissemination to investors, distributors, etc.
**Profile**
- Bachelor's Degree or higher;
- Minimum 6-10 years' work experience in similar position;
- Excellent overall knowledge of the Luxembourg fund industry and distribution;
- Very good understanding of local anti-money laundering laws rules and regulations in particular circulars and laws issued by the CSSF as relates to AML/CFT e.g. CSSF Regulation 12-02 AML Law of 12 November 2004, 4th and 5th AML Directive, etc.;
- Relevant internal audit, compliance, anti-money laundering and data privacy experience or other related experience e.g. legal, risk management, audit etc.;
- Project management skills and client facing skills would be considered a distinct advantage;
- Strong MS Excel and MS Word skills;
- Proven knowledge of regulatory requirements and an ability to translate them into operational/process requirements;
- Proven ability to engage with clients, senior management and third party vendors;
- A self-starter with a strong sense of ownership and responsibility;
- Excellent partnership and team management skills, with ability to work closely with various teams, business and other functional stakeholders;
- Organized proactive and communicative with an ability to take initiative and assume responsibility;
- Ability to work independently;
- Open-minded and capable of building productive working relationships.
**Offer**
Our client offers a permanent contract.
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