Capital Group are looking for a FP Investor & Service Provider Oversight Associate to join the growing team in Luxembourg. This is an outstanding early career opportunity to join a leading global financial services organisation.
The Investor Oversight Associate will work within the platform supporting CG’s Luxembourg, Australia and UK domiciled funds to support the oversight of the intermediaries and service providers involved in the distribution and servicing of the funds and their investors.
More specifically, the Associate will help perform due diligence on financial intermediaries distributing CG funds through initial and ongoing risk assessment as well as monitor and document the service provider’s quality of service.
- Screening media relevant to investors: Ensure daily review of negative media and sanction screening hits pertaining to investors across the range of CG funds in Europe and Asia; providing an initial analysis of the relevance of the hit, documenting findings and escalating as appropriate.
- Risk assessment: Support the onboarding of new distributors through the gathering and review of KYC and due diligence documentation and the risk assessment of such entities.
- Support the regular renewal of the risk assessment and corresponding documentation
- Assist the transfer agents & impacted CG Client Relations and Sales colleagues in the annual AML renewal exercises of shareholders
- Help oversee the transfer agents of the funds as delegate of the management company by reviewing, gathering information on and documenting issues and level of service of the provider.
- Assist in review related reporting from the transfer agents across the funds.
- Assist in the preparation of reports for internal governance forums Assessment of client trading patterns, flagging and documenting inconsistencies detected
- Contributes to any IST and/or Funds Platform projects as assigned.
- Contributes to the quality of team processes and business acumen
- A minimum of 2-3 years’ experience within the funds industry or similar
- Strong verbal and written communication skills, with high English fluency.
- Intellectual curiosity and analytical skills, with ability to look for information independently to perform analysis whilst applying sound judgment in resolving matters of low to moderate complexity
- Making sense of complex, high quantity, and sometimes contradictory information to effectively solve problems.
- Proactive and responsive attitude, with the ability to effectively plan and document one’s workload and share with other team members.
- Demonstrates ability to effectively collaborate with others to meet shared objectives and develop/maintain relationships within Capital Group.
- Demonstrates attention to detail in diligent analysis of issues and rigorous documenting of oversight activities
- Ability to evaluate and appropriately address privacy and confidentiality concerns relating to access and manipulation of shareholder data
- Stays informed on industry developments and actively demonstrating curiosity and initiative to learn
- Experience directly linked to AML / KYC activities or delegate oversight within wealth management firms and/or banks.
- Experience using Dow Jones Risk & Compliance systems
- Bilingual skills
- A strong interest in the topic of AML / KYC in the fund industry
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