TA Registration Associate (M/F)
The registration associate will report to the Team Leader Global Registration.
This role will require a hands-on commitment to excellence in customer service in conjunction with the customers' account registration and regular KYC re-identification process, deemed a very critical phase of the customer account life cycle. It requires to assist in the quality construction of operational processes, directly or indirectly impacting the client service onboarding and lifecycle experience of mostly financial professional clients and financial intermediaries, in the EMEA region and beyond, but likewise including some long-established private individual customers.
- Opening and maintenance of shareholder account information directly into the company's Transfer Agent system. This entails the verification of account opening documentation or existing client re- identification documentation, including but not limited to, AML/KYC due diligence and tax matters; to comply with regulatory requirements and obligations;
- In conjunction with the account registration mandate of the company, perform the risk assessment/classification for varying entity and investor types and determine the appropriate level of AML/KYC/Tax documentation required for new shareholder onboarding as well as for periodical account review and/or re-identification;
- In partnership with the Compliance and Operational Controls Department, take responsibility for the input of relevant parties' names in the scope of the Transfer Agent's AML/CTF screening processes;
- Ensure timely, and accurate account registrations based upon best in class auditable documentation;
- Maintain timely and accurate shareholder account data integrity into the company's Transfer Agent system;
- Take ownership for clear, concise and client focused communication in the context of new account registration and periodical re-identification of existing accounts, including but not limited to, AML/KYC due diligence and tax matters;
- Adhere to policies and procedures and work with the Team Leader / other internal stakeholders to ensure quality and that regulatory and client expectations are being met;
- Detect any potential suspicious documentation or unusual event in the onboarding process and, in conjunction with the Compliance and Operational Controls Department, escalate to the Compliance Officer and MLRO as required;
- Participate in regular reviews and updates of appropriate working procedures;
- Propose and implement process improvements and keep apprised of (regulatory) developments on topics surrounding AML/KYC and FATCA/ CRS that might impact relevant processes, and/or the client experience;
- Develop and maintain strong relationships across different departments and global locations, regularly liaising with counterparts in a local Global Registration team in Asia;
- In cooperation with the core management, participate as SME in projects to meet departmental objectives;
- Any other duties as assigned by management.
This position is not responsible for the direct supervision of other employees. However, we are seeking a candidate who over time demonstrates the capability to take on additional responsibilities within the organization of the team and the team processes.
From time to time employees may be given the responsibility of supervising the distribution of work among fellow team members.
THE CANDIDATE PROFILE
- At least 2 to 5 years' experience in Transfer Agency operations, in a dealing and/or registration/account opening role, ideally in a Registration or AML/KYC role;
- Relevant university or equivalent degree;
- Is an excellent communicator in English, and ideally in German (B2 as minimum);
- Knowledge of Transfer Agency regulatory, as well as general AML/KYC requirements;
- Understanding of the concept and mechanisms of FATCA and CRS;
- Ability to solve practical problems and deal with a variety of complex situations where only limited standardization exists;
- Ability to work independently yet always interact well with both team members and internal and/or external customers;
- Keen eye for detail coupled with excellent analytical and research skills;
- Ability to thrive under pressure;
- Anticipates, creates and encourages change;
- Good organizational skills in order to multi task whilst meeting deadlines.
Our client is an Asset Management Company distributing their funds globally.
At the final stages of the recruitment process, some of our clients ask the successful candidate to provide supporting documentation such as, for example, copies of diplomas or proof of previous jobs, and a standard criminal record check might also be requested.