CIB Operations - AML/KYC and Transfer Agency - Associate
JPMorgan Chase & Co
Hong Kong
2天前

The AML / KYC Associate role sits within the Transfer Agency Team which is part of Fund Services Hong Kong, performing AML / KYC and Operational Service Delivery (OSD) activities.

Key Accountabilities :

Assess and validate the CDD / KYC documentation required to perform the identification of investors and ultimate beneficial owners.

This will include complex legal structures from jurisdictions throughout the world, in accordance with the current regulatory requirements of Luxembourg / Ireland, with JP Morgan policies and procedures and as defined by individual client’s Risk Based Assessment.

This will include the following :

  • Process AML / KYC assessments for register opening or register maintenance within the applicable deadlines.
  • Track pending AML / KYC documentation per investor register and per fund promoter.
  • Review and respond to AML related queries across all clients within agreed time frames.
  • Run, review and update AML reports and provide these reports to Clients / Investors and Distributors.
  • Implement and keep up to date procedures that ensure the team is compliant with all AML / KYC and Financial Crimes prevention policies.
  • Incorporate additional controls as advised by JPMorgan Bank Luxembourg or JPMorgan Administration Services (Ireland) Ltd

  • Capture and process name and transaction monitoring alerts analyze potential unusual activity
  • Process Pledges as required; provide guidance on probate cases
  • Escalate cases to JPMorgan Bank Luxembourg / JPMorgan Administration Services (Ireland) Ltd Transfer Agency and consult with the JPM Luxembourg / Ireland Compliance and MLRO teams and the Funds’ Compliance and MLRO teams as required.
  • Refer PEP instances to JPMorgan Bank Luxembourg / Ireland transfer Agency for onward consultation with Luxembourg / Ireland Compliance and MLRO teams
  • As the senior AML / KYC manager in Hong Kong attend as lead the monthly AML / KYC governance calls run by JPMorgan Luxembourg and Ireland
  • Provide oversight and support to processing teams in Manila and Bangalore
  • Qualifications :

  • 4 to 6 years of experience in the Luxembourg or other European Fund Industry.
  • Expert understanding of Asian and European anti-money laundering laws, rules and regulations, in particular Irish and Luxembourg circulars and laws issued by the IFSRA & CSSF as relates to AML / CFT,
  • Extensive relevant Compliance, AML and data privacy experience or other related experience.
  • An ability to articulate clearly Fund, regulatory and corporate requirements to clients and investors. Solution problems whilst meeting all CDD requirements
  • Proven knowledge of regulatory requirements and an ability to translate them into operational / process requirements.
  • Ability to work in partnership with Clients, Investors and JPM teams
  • Fluency in English. Cantonese, Mandarin and other Asian language would be considered a distinct advantage.
  • Prior knowledge on robotics and process automation (RPA) would be desirable.
  • Good knowledge in MS Office Suite applications - MS Word, Excel and Power Point.
  • Keen learner with drive and enthusiasm. Ability to motivate others and manage a small team.
  • Flexibility in working hours is a must as there will be work rotational shifts with occasional requirement to cover bank holidays.
  • Strong Risk and Control Awareness : Ability to effectively prioritize workloads and work to critical deadlines
  • Candidates with lesser experience or candidates with Transfer Agency (TA) or Operational Service Delivery (OSD) experience are welcome to apply.

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