Transfer Agency

At Brown Brothers Harriman, we believe no job is too big or small for any of us to handle if it helps our clients. We value passionate, committed people who enjoy collaborating with others to find new solutions to complex business challenges. We are looking for the type of person who speaks their mind, truly listens and steps outside their role to add value wherever they can. Someone who is driven to get things done and views obstacles as an exciting challenge that demands a creative solution. Above all, we seek someone who takes great pride in their work and is inspired and motivated by their role in protecting and enhancing our client’s financial well-being.

If you are looking for an entrepreneurial environment where you can learn and thrive, Brown Brothers Harriman is the right place for you.

Join us as a Transfer Agency - Investor Ongoing Monitoring Team Leader

Brown Brothers Harriman is currently recruiting an Investor on Boarding Team Leader to join our Transfer Agency - Luxembourg team on a 12-month contract. In this role you will you will be responsible for directing team members within the IOM Team with the objective to achieve overall high client satisfaction. The role will involve working closely with, and providing support to, the manager to ensure the team operates efficiently and that deadlines are met.

Ideally, you would have 8-10 years Funds / TA experience and 5 years minimum Anti-Money Laundering (AML) and Registration experience. You should display a high degree of analytical skills, professionalism and integrity through their work and will possess solid experience in an AML / Know Your Client (KYC) / Risk role within an AML / KYC related function or department.

Achieving this will require strong people management, initiative, experience in on-shore and offshore Funds and AML regulations and attention to detail, as well as the ability to delegate and to gain the commitment among team members.

Some of your key responsibilities include:
Product
- Assisting and covering the manager in overseeing the day-to-day activities of the TA AML / KYC Investor Ongoing Monitoring team.
- Review and escalation with the IOM Manager, Compliance, Senior Management any issues
- Ensure that policies and procedures are adhered to on a daily basis and have this evidenced.
- Actively participate and work with relationship managers and TA Production Support in the launch of any new or incremental business such as new funds/share classes, including account opening.
- Oversee the accurate preparation of any sample files required for internal or external audits
- Possess an in-depth understanding of AML/KYC due diligence requirements on a range of institutional client types with different legal structures, in all jurisdictions, to support businesses across various product groups and regions.
- Fully conversant with offshore and onshore AML/KYC rules and regulations
- Participate in ad-hoc projects as required
- Review publicly available sources for information pertaining to client due diligence (e.g. Stock Exchange)
- Assist in drafting and documenting procedures, policies and processes as necessary
- In-depth understanding of typical legal structures including hedge funds, special purpose vehicles, partnerships, trusts and charities
- Follow up and oversee the remediation of accounts that are non-compliant to in adherence with current local regulations
- Establish, together with the IOM Manager, TA Department Head, Compliance and Risk, service standards and procedures for the IOM Team

2. Client Relationship
- Must have strong client relationship and communication skills and be able to participate in client meetings scheduled and ad hoc
- Establish solid contacts with all areas and all levels at clients’ organizations as well as inter departmental
- Remain knowledgeable of changing industry initiatives (attend presentations, work sessions & personal effort) and educate clients continually through presentations

3. Human Resources Management
- Responsible for the cross-training of staff on KYC standards to develop depth and breadth of knowledge
- Undertake the performance review of team members and recommend promotions to the Registration / IOM Manager
- Work with management to address the training needs of the group (including the industry specific topics)
- Establish successful level of synergy within TA team
- Co-ordinate both team and individual meetings which must include action points and follow up
- Responsible for instituting and reporting on measures to determine the team's performance in meeting these standards

4. Improvement of Efficiency
- Review and reorganize, together with the Registration / IOM Manager and peers, functional tasks for maximum efficiency
- Minimize overtime and implement additional efficiencies as automation projects are completed
- Manage controls efficiently to alleviate any potential risk areas
- Progressive attitude to work, with a view to continuous improvement

Desired