Ta Oversight and Aml Operations Senior Specialist

6 days ago

London, United Kingdom Janus Henderson Full time

We are a leading independent global asset manager, dedicated to delivering the best outcomes for our clients through a highly diversified range of actively-managed products. We are truly global, supporting our individual and institutional investors across a range of products, encompassing equities, fixed income, multi-asset and alternatives. Our high-energy and collaborative culture at Janus Henderson helps our client achieve their goals and ensures that our people love the place they work.

Our culture is the foundation for how we interact with clients and one another as part of our unique, people-focused work environment. We support a flexible hybrid working model that allows teams to build a strong and positive culture by inspiring innovation and increasing collaboration. Currently our hybrid working model allows employees to work 2 or more days in office and the remaining time remotely.

Employees and Managers will discuss and determine what schedule works best for them and the team, with additional flexibility available based on the role, business needs, and individual circumstances.

The department

Janus Henderson operates an outsourced model in partnership with our Third-Party Administrators (TPA). The primary focus of the Operations team is the oversight and management of the TPAs as well as supporting internal clients (for example the Distribution and Investment teams). Operations also support numerous projects and operational changes to maintain best practice operational processes.

Overview of the role

This role has two key areas of responsibility:
1) Operational financial crime prevention (“FCP”) activities, primarily:

- the establishment of JHI’s Financial Crime Risk Assessment (“FCRA”) process for Distributors and Intermediaries;

2) Transfer Agent (TA) Oversight:

- monitor and manage service standards provided by TA (including SLAs and KPIs) to ensure excellent client service is delivered.

Duties and responsibilities

Operational Financial Crime Prevention Activities
- Carry out the day to day process for issuing and chasing FCRA questionnaires for Distributors and Intermediaries, including an initial roll-out to our third party distributors;
- Assisting with the initial assessment of distributors and intermediaries, and liaising with the Financial Crime team as appropriate;
- Completing FCRA on distributors and intermediaries based on completed questionnaires;
- Assist with investor screening activities (sanctions, PEPs, adverse media), some of which are outsourced to third party administrators;
- Be actively involved in investor due diligence activities, some of which might manifest as re-ID projects led by our third party administrators;
- Be actively involved in the due diligence process for Segregated Mandate clients, including driving an unrivalled client experience through self-serve opportunities.
- Assist with the implementation of operational change related to financial crime prevention which could be generated internally, by our third party administrators and also by regulatory / industry change. Assist with general queries relating AML / CDD from third party administrators in the UK, Ireland and Luxembourg

TA Oversight
- Monitor and validate the investor tax reporting on an annual basis;
- Undertake quarterly reviews of the management company rebate process;
- Support the client complaints handling process;
- Coordinate Ongoing monitoring and periodic due diligence of the TPA(s) including:

- Monthly Service Review Calls and TPA Governance Meetings
- Review and assessment of KPIs and SLAs
- Support the CO in the delivery of reporting to HMSA Management Committee and HMSA and Funds Boards covering Operations / Distribution;
- Assist in the provision of regulatory reporting to the CSSF, CBI and other local regulators as may be required from time to time;
- Ensure a robust governance framework (including relevant procedures) is maintained

General
- Build direct relationships with our transfer agencies, distributors / intermediaries, and with sales, financial crime compliance teams and legal teams within Janus Henderson.
- Develop and support additional FCRA responsibilities (extended regulation or further jurisdictional requirements) as required
- Continuously seek to identify operational efficiencies in the team’s processes.
- Report to the Conducting Officer responsible for TA and Distribution oversight with a functional reporting line to the Manager of the AML Operations team
- Support and implement the Financial Crime Operations processes/procedures, systems and controls
- Carry out additional duties as assigned

Supervisory responsibilities
- No

Technical skills and qualifications
- Prior experience of TA oversight and knowledge of financial crime prevention operations (e.g. due diligence, screening, KYC)
- Very good working knowledge of investment funds and products, including segregated mandates, with a focus on the Luxembourg and Irish fund industry
- Good

  • Senior AML Oversight Analyst

    4 weeks ago

    London, United Kingdom Vanguard Group Full time

    This job is brought to you by Jobs/Redefined, the UK's leading over-50s age inclusive jobs board.We have an exciting opportunity for a Senior AML Oversight Analyst to join the team. In this role you'll be assisting with the team's day to day AML oversight responsibilities, including ensuring all processes and controls are completed and managing a busy group...

  • Senior AML Oversight Analyst

    3 weeks ago

    London, United Kingdom Vanguard Group Full time

    This job is brought to you by Jobs/Redefined, the UK's leading over-50s age inclusive jobs board. We have an exciting opportunity for a Senior AML Oversight Analyst to join the team. In this role you'll be assisting with the team's day to day AML oversight responsibilities, including ensuring all processes and controls are completed and managing a busy...

  • Senior AML Oversight Analyst

    4 weeks ago

    London, United Kingdom Vanguard Group Full time

    This job is brought to you by Jobs/Redefined, the UK's leading over-50s age inclusive jobs board. We have an exciting opportunity for a Senior AML Oversight Analyst to join the team. In this role you'll be assisting with the team's day to day AML oversight responsibilities, including ensuring all processes and controls are completed and...

  • Aml Specialist

    7 months ago

    London, United Kingdom First AML Full time

    **Introduction**: Who are we and why work for us? We've created a world-class SaaS product that automates and solves our customers due diligence problems so that they can stay focused on running their business. First AML isn't just a “start up”, we are well funded and in growth mode which for you means your career will grow with us as we create a Global...

  • Ta Oversight Manager

    5 days ago

    London, United Kingdom eFinancialCareers Full time

    **About Columbia Threadneedle Investments** You'll find the promise we make to our clients is the same one we make to our employees: Your success is our priority. Here, you'll find growth and career opportunities across all our businesses. We're intentionally built to help you succeed. Our reach is expansive with a global team of 2,000 people working...

  • AML KYC Senior Analyst

    4 weeks ago

    London, United Kingdom Vanguard Group Full time

    We have an exciting opportunity for a Senior AML Oversight Analyst to join the team. In this role you'll be assisting with the team's day to day AML oversight responsibilities, including ensuring all processes and controls are completed and managing a busy group mailbox. You'll be joining a highly collaborative team who value care, inclusion, curiosity and...

  • GFS EMEA AML Regulatory Oversight Manager

    4 weeks ago

    London, United Kingdom Northern Trust Full time

    About Northern Trust: Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families, and institutions by remaining true to our enduring...

  • Head of AML Compliance Oversight

    6 days ago

    London, Greater London, United Kingdom TD Bank Full time

    About the RoleWe are seeking an experienced Financial Crime Risk Director to join our team at TD Bank. In this role, you will be responsible for managing a large and complex AML/ATF/Sanctions/ABAC function, overseeing day-to-day operations, and participating in special projects. You will also provide oversight to programs for an assigned portfolio of complex...

  • AML Regulatory Specialist

    1 month ago

    London, Greater London, United Kingdom AML Intelligence Ltd Full time

    OverviewAt AML Intelligence Ltd, we deliver exceptional quality in audit, accounting, tax, financial advisory, outsourcing, and consulting services. Our goal is to help our clients navigate complex financial regulations and stay compliant with international standards.Job SummaryWe are seeking an experienced Compliance Risk Manager to join our team in London....

  • Uk Aml Specialist

    7 months ago

    London, United Kingdom First AML Full time

    **Introduction**: Who are we and why work for us? We've created a world-class SaaS product that automates and solves our customers due diligence problems so that they can stay focussed on running their business. At First AML we have a bigger meaningful purpose, through our product we help everyday people access the financial system, while limiting criminal...

  • Uk Aml Specialist Supporting Our Eu Customers

    7 months ago

    London, United Kingdom First AML Full time

    **Introduction**: Who are we and why work for us? We've created a world-class SaaS product that automates and solves our customers due diligence problems so that they can stay focussed on running their business. At First AML we have a bigger meaningful purpose, through our product we help everyday people access the financial system, while limiting criminal...

  • AML Specialist

    3 weeks ago

    London, Greater London, United Kingdom Janus Henderson Investors Full time

    Job OverviewWe are seeking a highly skilled Compliance Operations Professional to join our team at Janus Henderson Investors.The successful candidate will have prior experience of TA oversight and knowledge of financial crime prevention operations, including due diligence, screening, and KYC. A strong working knowledge of investment funds and products,...

  • Senior AML Compliance Officer

    4 weeks ago

    London, United Kingdom Citigroup, Inc. Full time

    The United Kingdom, Europe, MEA Cluster (EMEA) Anti-Money Laundering (AML) Regulatory Reporting Head is responsible for overseeing the requirements and providing the appropriate execution oversight in alignment with Global Suspicious Activity Reporting Standard (SAR), Global AML Regulatory Reporting Standards (NTR/RTR), and Global AML Account Closure...

  • Senior AML Compliance Officer

    4 weeks ago

    London, United Kingdom Citigroup Inc. Full time

    The United Kingdom, Europe, MEA Cluster (EMEA) Anti-Money Laundering (AML) Regulatory Reporting Head is responsible for overseeing the requirements and providing the appropriate execution oversight in alignment with Global Suspicious Activity Reporting Standard (SAR), Global AML Regulatory Reporting Standards (NTR/RTR), and Global AML Account Closure...

  • Senior AML Compliance Officer

    4 weeks ago

    London, United Kingdom Citigroup Inc. Full time

    The United Kingdom, Europe, MEA Cluster (EMEA) Anti-Money Laundering (AML) Regulatory Reporting Head is responsible for overseeing the requirements and providing the appropriate execution oversight in alignment with Global Suspicious Activity Reporting Standard (SAR), Global AML Regulatory Reporting Standards (NTR/RTR), and Global AML Account Closure...

  • Senior AML Compliance Officer

    4 weeks ago

    London, United Kingdom Citigroup, Inc. Full time

    The United Kingdom, Europe, MEA Cluster (EMEA) Anti-Money Laundering (AML) Regulatory Reporting Head is responsible for overseeing the requirements and providing the appropriate execution oversight in alignment with Global Suspicious Activity Reporting Standard (SAR), Global AML Regulatory Reporting Standards (NTR/RTR), and Global AML Account Closure...

  • Senior Compliance Specialist for AML/CFT Operations

    2 weeks ago

    London, Greater London, United Kingdom Idenfo Full time

    Job Title: Senior Compliance Specialist for AML/CFT OperationsLocation: London, United KingdomAbout Idenfo:We are a Fintech company dedicated to providing an integrated Anti Money Laundering platform and top-notch compliance advisory services. Our team is passionate about making a difference in the industry.Job Description:We are seeking an experienced KYC...

  • Senior AML Strategist

    4 weeks ago

    London, Greater London, United Kingdom Pembury Legal Full time

    Job OverviewPembury Legal, a leading US law firm, seeks an experienced Senior AML Manager/Lawyer to lead crucial compliance initiatives in their Risk & Compliance team.This newly created role focuses on high-stakes financial crime and anti-money laundering (AML) matters, providing the opportunity to shape and influence AML compliance strategies globally.The...

  • Financial Crime and Risk Kyc/aml

    1 day ago

    London, United Kingdom THC Recruitment Full time

    **KYC** **Asset Finance** **London/Hybrid** **c£50,000 plus benefits** This established specialist challenger bank is going from strength to strength. As a result of growth, we are looking to recruit someone with experience in KYC, AML and Operational Risk to join a key team looking after first-line oversight. You will be responsiblefor oversight of the...

  • AML and Governance Specialist

    2 weeks ago

    London, Greater London, United Kingdom Clear IT Recruitment Limited Full time

    Job Title: AML and Governance SpecialistLocation: Stratford, LondonEstimated Salary: £80,000 - £100,000 per annumAbout the RoleClear IT Recruitment Limited is seeking an experienced AML and Governance Specialist to join their team in London.The successful candidate will be responsible for ensuring that end users enjoy a positive compliance experience...