Transfer Agency Investor Onboarding Team Leader

Job description

Job: Transfer Agency Investor Onboarding Team Leader

Salary: €65 - €75K DOE

Location: Dublin City Centre 

Key Requirements

  • BA/BC degree in relevant field;
  • Minimum of 6-8 years Funds Industry / Transfer Agency experience, 4 years of which should be in an AML/ Compliance or Risk function;
  • Minimum of 3 years supervisory experience
  • Subject Matter Expert level of AML/KYC legal requirements aligned to current regulations from an Operational/Compliance or Risk background;
  • Knowledge or prior experience of Multifonds TA is considered essential.

Job Responsibilities:

1. Product

  • Assisting and covering the manager in overseeing the day-to-day activities of the TA;
  • AML / KYC Investor On-Boarding team;
  • Review the application of group AML standards to new investor files for varying entity types prior to onboarding;
  • Ability to exceptions to the standards that will require risk assessment and escalation to senior management;
  • Review and escalation with the IOB 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 clients 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;
  • 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 IOB Manager, TA Department Head, Compliance and Risk, service standards and procedures for the IOB 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 interdepartmental;
  • 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 / IOB Manager;
  • Work with management to address the training needs of the group (including the industry-specific topics);
  • Establish a successful level of synergy within the 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 / IOB 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;
  • Must be willing to work as part of a team in a client-focused, high-quality service environment;
  • Progressive attitude to work, with a view to continuous improvement;
  • Proven aptitude for problem-solving.

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