The role of Investor Onboarding ( IOB ) Supervisor will involve in performing Transfer Agency IOB functions in a controlled and efficient manner while maintaining high client satisfaction.
Detailed responsibilities include conducting AML / KYC review and assessment on investor, serve as liaison between client / investor and Compliance, assist in formulating investor onboarding policies and procedures, facilitating account creation and data record maintenance.
The individual will have to display a high degree of professionalism and integrity through their work and will possess solid experience in an Anti-Money Laundering (AML) / Know you Client (KYC) role within a Client On-Boarding team or AML Remediation team.
Achieving this will require strong interpersonal and analytical skills, attention to detail, self-initiated, ability to operate in a global organization and a committed team player.
RESPONSIBILITIES : CORE IOB FUNCTIONS :
CORE IOB FUNCTIONS :
Possess in-depth understanding of AML / KYC due diligence requirements on a range of investor types with different legal structures in jurisdictions as serviced
Review investors’ documentation and carry out appropriate assessment and account opening process
Remediation of accounts that are non-compliant to ensure adherence with applicable AML procedures and regulations
Review and discuss with IOB Manager, AML Product, Compliance, Senior Management any issues including AML / KYC escalation
Adherence to firmwide and TA specific policies and procedures
Close collaboration with other TA functions to facilitate investor / client’s enquiry on account opening or account remediation.
Establishment and ongoing maintenance of TA IOB or AML procedures, policies and processes whereas necessary
Remain knowledgeable of changing industry initiatives (attend presentations, work sessions & personal effort) and educate clients continually through presentations
Establish solid network of contacts at clients as well as within BBH internal
Review and reorganize IOB processes and functional tasks for maximum efficiency
Manage controls efficiently to alleviate any potential risk areas
INDIVIDUAL QUALITIES :
Progressive attitude to work, with a view to continuous improvement
Proven aptitude for problem solving
Must be willing to work as part of a team in a client focused, high quality service environment.
Ability to multi-task and functioning effectively under pressure
KNOWLEDGE AND SKILLS
Minimum of 3 years Transfer Agency or similar industry experience, 2 years of which preferably in the field of Compliance or AML related functions
Experience in client servicing or supervisory role a plus
Good knowledge of AML / KYC legal requirements aligned to current regulations
Ability to liaise across departments / functions when needed to handle specific client requests
Ability to identify, recommend and implement improvements to existing processes
Fluency in English and Chinese is required. Additional language a plus
Knowledge or prior experience of Multifonds TA considered as an advantage
Good knowledge of standard Office applications. (MS Word, Excel, Powerpoint)
Full timeHong Kong