Transfer Agency Investor On Boarding Supervisor
Brown Brothers Harriman
Hong Kong
3天前

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

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