Associate, Transfer Agency, Fund Services

Key Areas of Responsibilities

• Process investor’s capital activity, including subscription, redemption, switching, transfer, etc. and review all the relevant supporting documents, including KYC /AML checks and sanction list screening.
• Involvement in client servicing and responding to client and/or investors’ queries.
• Take lead in establishing, review, implement and maintain effective Compliance and Anti-Money Laundering (AML) policies, procedures, systems, and controls in compliance with applicable Compliance and AML regulations and the organization’s KYC/AML standards.
• Act as the bridge between business team and compliance team on AML cases escalation and manage AML/CFT risks. Discuss and document unusual transactions with relevant stakeholders.
• Identify, assess, and implement all relevant new legal and regulatory developments within the AML framework.
• Day-to-day operations for compliance with the relevant policies, procedures, systems, and controls.
• Establish and maintain an appropriate compliance and AML training programme and adequate awareness arrangements for the business team.
• Perform regular sample checking over customer due diligence checks performed on new and on-going clients and investors as per the firm’s requirements.
• Keep pace with developments in AML/CFT laws and regulations, trends, techniques, and update indicators of money laundering or terrorist financing that could impact our business.
• Arrange and process payment settlements accurately and in line with agreed timelines and regulatory requirements.
• Track and monitor token rights, entitlements to ensure proper recordkeeping.
• Coordinate and manage account opening procedures for clients, including document collection and forms review/filling.
• Provide support to other operations’ team as assigned from time to time.
• Undertake ad-hoc projects as assigned.

Requirements

• Bachelor’s degree or equivalent in Business Administration, Law or similar.
• Master’s degree is a plus.
• 3- 5 years of working experience preferably gained in the compliance industry. Previous work experience in Fund Services would be a plus.
• Compliance related accreditations or qualifications preferable. (e.g., CAMS, ICA, CFE, etc.)
• Previous World-Check experience usage is a must.
• Thorough understanding of the local and international AML regulatory environment.
• Proactive, mature, high level of attention to detail, able to work independently under pressure and strong sense of meeting tight committed deadlines.
• Good interpersonal skills.
• Good verbal and written communication skills in Mandarin and English.
• Proficient in Word, Excel, PowerPoint and other presentation applications, including the ability to produce neatly presented work.

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