Kyc Compliance Supervisor

1 day ago

Isle of Man, United Kingdom Apex Group Full time

**Department**:Fund Administration
**Employment Type** Permanent

**Role & Key Responsibilities**:

- Managing and overseeing day to day activities in line with internal and external SLA timeframes - pro-active escalation to senior VP of any potential non-compliance matters
- Identifying gaps in controls and processes and putting process improvement suggestions forward in a professional manner
- Assisting with new client on-boarding through reviewing draft documentation
- Being initial point of escalation for investor, client and internal enquiries for KYC
- Relaying full CDD requirements to Investors in relation to new and periodic reviews
- Sign off of all new or updated KYC files
- AML servicing for existing client base and for new clients on-boarding
- Ensuring adherence to all policies & procedures, local laws and regulations
- Reviewing AML documentation for subscriptions, redemptions, remediation of existing client base and ongoing Investor screening
- Responding to investors on AML related queries and AML escalations in timely manner
- Participating in and ownership of ad hoc projects
- Daily oversight of time card completion and data quality
- Liaising with Compliance on Complex cases
- Ensuring all deliverables are met and any anticipated delays escalated
- Training of staff
- Working as part of a larger global team in the case of outsourced activities
- Oversight for and checking of all aspects of operations and controls, including AML System updates, performing Anti-Money Laundering (AML) checks and FATCA / CRS reviews
- 5 years+ proven experience in a Registration Team with particular experience in an AML supervisory role
- Knowledge of Transfer Agency operational processes and its integration with AML processes would be an advantage
- AML Knowledge of local and global requirements
- FATCA/CRS - ability to review Self Certification documents, classify accounts and understand XML reporting requirements
- Strong planning and organizational skills
- Strong communication (verbal and written) and problem-solving skills
- The ability to work with all levels within the organization
- Strong multi-tasking skills
- The ability to adapt to changing priorities and varied decision-making scenarios
- An understanding of fund structures and the fund administration business and ensuring more junior staff have sufficient knowledge and skills
- Good interpersonal skills to develop working relationships with colleagues and clients
- The ability to work to tight deadlines in a proactive fashion
- Ability to identify opportunities for process improvements and to communicate same effectively
- A genuinely unique opportunity to be part of an expanding large global business
- Exposure to all aspects of the business, cross-jurisdiction and to working with senior management directly

We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.

For more information on our commitment to Corporate Social Responsibility (CSR) please visit our CSR policy page.
- Posting date: 17/08/22_
- PID: 12551_

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