· Manage the Anti-Money Laundering (AML) and investor due diligence requirements
throughout the lifecycle of the investor relationship.
· Assess investor AML risk assessments to identify and mitigate potential money laundering and terrorist financing risks within the company and ensure compliance with regulatory requirements.
· Engage in the enhanced due diligence process as required, including the review and
verification of source of wealth/source of funds declarations.
· Support the Head of Transfer Agency in ensuring that the daily deliverables are met and
processes and procedures are adhered to.
· Engage with the Head of Transfer Agency, Compliance, Senior Management on any issues including AML/KYC requiring escalation.
· Perform oversight and assistance in relation to the follow up on outstanding AML/KYC
documentation, ensuring aged outstanding documents are reported and escalated accordingly.
· Perform ongoing monitoring of investors, including PEP's, sanctions and transaction
monitoring, escalating any unusual or high-risk activity to the Head of Compliance.
· Maintain accurate and up to date records of AML/Know your Customer (KYC) documentation, findings and actions taken for all investor activities.
· Adhere to AML/KYC policies, procedures and regulatory requirements, including AML
regulations and KYC guidelines.
· Maintain accurate and complete data for all investors.
· Monitor outsourcing arrangements, escalating issues when appropriate.
· Day to day client reporting and workflow management.
· Maintain up to date procedures and checklists.
· Manage client relationships and investor queries in a timely manner.
· Involvement in group project work.
· Provide training, guidance and support to the wider team as the AML/KYC subject matter expert within Transfer Agency.
Skills and Experience:
· A minimum of 5 years' experience working in Investor Services and Anti-Money
Laundering/Know your Customer.
· Strong knowledge of Irish KYC, AML, CTF regulations and related typologies within the Funds industry.