Senior Associate – Investor Services

Job Summary:

The Senior Associate - Investor Services will be responsible for the daily client servicing, recording and review of complex securities trading while meeting the very tight reporting deadlines and demanding obligations of Harmonic clients.  Responsibilities include cash management; review/execution of bank, custody and prime broker operating account documentation; and responding to client requests for information

 
Essential Functions

General Responsibilities 

• Work independently on all aspects of investor services for a large number of hedge fund accounts with a high volume of transactions and inquiries
• Respond to requests and inquiries from portfolio managers and investors
• Perform Anti-Money Laundering (AML) checks whilst displaying a comprehensive knowledge of the established practices, processes and procedures
• Compliance with documentation standards as they relate to investor qualification criteria under U.S. and other jurisdictional requirements (FATCA, OFAC, AIFMD etc.) and client constitutive documents
• Recording and review of compliance documentation for regulatory, anti-money laundering and know-your-customer standards
• Review investors’ eligibility to invest in specific funds
• Manage relationships with new and existing investors
• Maintenance of member registers including responsibility for data integrity
• Review and file original documents received
• Update contact details and distribution lists for registered shareholders
• Check investor services inbox and fax queue and respond to queries
• Support client phone lines and e-mail communication
• Recording transaction IDs in SharePoint system to incoming faxed documents
• Attach all documents related to transactions
• Set-up wires for redemption payments
  

Reconciling Responsibilities

• Log all incoming subscription, redemption and transfer transactions
• Attach downloaded SWIFT reports to transaction entries
• Add review to pending subscriptions, redemptions and transfers
• Follow up on any AML needed for subscription, redemption or transfer orders
• Submit transfer requests to client for approval
  

Managerial Responsibilities

• Training of Investor Services personnel in all aspects of position and compliance
• Conduct performance reviews for direct reports
  

Other Responsibilities

• Download client contact information reports from PI Web and update information in our system on a regular basis
• Monitor PI web for any transfers and update system
• Other job functions as required
  

 
Job Qualifications

• Qualifications: A university graduate with a Bachelor's degree in Accounting, Finance, Business, or a related discipline, and a recognized professional accounting designation (CA, CPA, CGA, CMA or equivalent).
• Experience: 2+ years of experience working in a similar role or combined role working with complex securities and derivative products
• Knowledge: Strong expertise and technical knowledge of alternative investment products, operations and the offshore financial services industry including systems technology, valuation, some accounting, prime brokerage, financing and custody preferred
  

Technical Requirements

• Solid working knowledge of all Windows applications with Excel to an advanced level
• Basic understanding of advanced software and/or fund accounting applications
  

General Skills & Abilities Required

• Strong Communication Skills: Demonstrates clear verbal articulation, active listening, writing for clarity and purpose, adapting messages to diverse audiences and providing and receiving constructive feedback
• Workflow and Problem-Solving Acumen: Understands standard procedures and task sequences, anticipates dependencies, and applies structured approaches to identify, analyze, and resolve operational challenges efficiently
• Self-Driven Productivity: Demonstrates intrinsic motivation and perseverance, managing workloads independently while maintaining consistent quality and meeting objectives without external prompting
• Meticulous Attention to Detail: Maintains vigilance for accuracy, spotting inconsistencies or errors in tasks, documentation, and communications, ensuring outputs are precise and reliable
• Relationship and Client Orientation: Builds and sustains professional connections, interprets stakeholder expectations, and responds with empathy, respect, and service-minded adaptability
• Time Management and Prioritization Skills: Allocates attention and resources effectively, balancing multiple responsibilities, adjusting plans proactively, and meeting deadlines under dynamic conditions
• Interpersonal and Sociable Engagement: Navigates people-facing environments with confidence, fostering inclusive collaboration, empathetic communication, and positive rapport with colleagues and clients alike
• Adaptability and Flexibility: Quickly adjusts to changes in workflows, client needs, or organizational priorities while maintaining performance, resilience, and solution-oriented focus
• Critical Thinking and Decision-Making Capacity: Evaluates situations methodically, considers alternative strategies, and implements practical solutions that balance organizational goals and operational constraints 

Terms

• Full-Time on-site role
• Compensation commensurate with qualifications and experience