Senior Specialist Due Diligence AML/KYC
Schroders plc
Luxembourg, Europe & Middle East
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Company Overview

As a global investment manager, we help institutions, intermediaries and individuals across the planet meet their goals, fulfil their ambitions, and prepare for the future.

But as the world changes, so do our clients’ needs. That’s why we have a long history of adapting to suit the times and keeping our focus on what matters most to our clients.

Doing this takes experience and expertise. We bring together people and data to spot the trends that will shape the future.

This provides a unique perspective which allows us to always invest with conviction. We are responsible for £447.0 billion (€503.

6 billion / $604.7 billion)* of assets for our clients who trust us to deliver sustainable returns. We remain determined to build future prosperity for them, and for all of society.

Today, we have 4,600 people across six continents who focus on doing just this.

We are a global business that’s managed locally. This allows us to always keep our clients’ needs at the heart of everything we do.

For over two centuries and more than seven generations we’ve grown and developed our expertise in tandem with our clients’ needs and interests.

Explore our interactive timeline to see how we’ve been shaping financial futures since our very beginnings.

  • as at 31 December 2017
  • Team Overview

    The Distribution Control Team is responsible for multiple key tasks within Schroders Europe, such as conducting Intermediary Due Diligence, Cross-

    Border Activity Control, Branch Oversight, and Distribution Monitoring Control.

    Intermediary Due Diligence ( DD ) includes gathering and analysing information to assess the risk of money laundering / terrorist financing in relation to intermediaries and distributors ( intermediary ) prior to establishing distribution contracts with Schroders Europe to distribute, purchase or privately place investment funds.

    Particular relevance is made to the term intermediary as private individuals will be dealt with by the Transfer Agent. The Intermediary On-

    going Due Diligence is the process by which all the existing and established relationships are reviewed on a regular basis to ensure compliance with the latest Anti Money laundering laws and regulations, as well as with the internal policies and procedures in Luxembourg.

    Cross-Border Activity Control ( CBAC ) is defined as the conducting of business activity from one jurisdiction into another, with cross-

    border clients or with other third parties, with the intention, directly or indirectly, of marketing the Schroders brand, distribution or furthering distribution of Schroders products (pooled funds, structured products, etc.

    or providing services such as discretionary or advisory. It also includes servicing existing clients, exploring business development opportunities and responding to requests from Cross-

    border Clients even when the contact was unsolicited by Schroders. Schroders Europe must remain compliant with applicable laws and regulations relating to the conduct of CBA, including the requirements around Anti-

    Money Laundering and Sanctions.

    Branch Oversight ( BO ) is the activity in place in order to ensure the robust oversight of Schroders European branches to mitigate any risks associated with the activity carried out by them.

    BO includes frequent interaction, ongoing support and monthly status meetings, and formal onsite meetings, if required. BO activity also covers documenting the procedures with branches to ensure that they provide specific data on a clearly defined timeframe to centralise and produce reports for the Board of Schroders Europe and the CSSF.

    Distribution Monitoring Control ( DMC ) is the control and monitoring of all distribution related matters, monitoring the client life cycle, keeping all existing databases up-

    to-date, and preparation of reports and KPIs.

    Role Overview

    The Distribution Control team is responsible for multiple activities which all have to be duly documented, regulatory compiled and kept updated.

    Also, one of the primary responsibilities of the Distribution Control team is carrying out Intermediary AML / KYC Due Diligence, which includes both initial Due Diligence and Ongoing Due Diligence.

    As well as Cross-boarder Activity Control, by analysing the distribution and marketing activity of the clients in relation to Schroders Europe funds.

    Key functions of the role

  • Act as a key support and communication point within the Distribution Control team for any matters related to AML / CTF regulatory background and fund distribution activities;
  • Assist the team members in updating the internal policies and procedures, and if required, provide legal background assessments and clarifications, and ensure timely updates;
  • Participate in due diligence processes by evaluating the risks associated to AML / CTF and fund distribution of Intermediaries and their network prior to entering into a business relationship, as well as on an on-going basis;
  • Support the onboarding and ongoing Due Diligence exercise by reviewing the Intermediaries’ AML / KYC policies and other relevant investor documents, as well as performing on-
  • site visits, if required, on a case by case basis;
  • Perform cross-border activity control, by analysing and reviewing the Intermediaries’ activities in relation to marketing and distribution of the Schroders Europe funds;
  • Assist Client Service Managers (CSMs) and our worldwide based Sales Offices (SOs) in their communication with investors with regards to Schroders Europe KYC requirements by providing, for example, an overview and clarification of internal policies and procedures, as well as clarifying the Luxembourg AML / CTF legal framework, legislation and relevant requirements;
  • Assist CSMs and SOs, when required, in matters related to agreement negotiation, ensuring that AML / CTF wording is adequate and complete, and, if necessary, interact with the Legal and Compliance departments;
  • Provide advice on new distribution channels, associated risks and possible mitigations and solutions;
  • Assist the Distribution Control Team Leader and the Head of Investment Management and Distribution Services on any ad-hoc requests and matters related to the responsibilities of the Distribution Control team, in particular preparing reports and KPIs;
  • Audits : Assist internal and external auditors on any questions in relation to DC responsibilities;
  • Participate and / or oversee any of the Schroders Europe and Group projects upon request;
  • Provide assistance to Conducting Officers on any DC related matters;
  • Work together with the Compliance team, when necessary to develop Schroders Europe internal policies and procedures.
  • Essential Skills

  • Good knowledge of the Luxembourg regulatory framework governing AML and CTF and Fund Distribution;
  • Previous experience in the financial industry with exposure to AML and Fund Distribution matters;
  • A law degree or equivalent;
  • Team player, supportive of others, proactive;
  • Decision maker, capable of taking initiatives and solution oriented mind-set;
  • Diplomatic, excellent communicator, will have dealt directly with internal and external clients;
  • Excellent organisational skills;
  • Self-educating, curious, pragmatic;
  • Able to multi-task, work under pressure with commitment to deliver under a tight deadline;
  • Fluency in English (verbal and written);
  • Knowledge of Microsoft Office, in particular Excel and Word.
  • Desirable Skills

  • Knowledge of another European language would be an advantage
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