Transfer Agent - AML
Pictet Group Luxemburg
Steinsel, LU
il y a 1h
source : Monster

Pictet is an investment-led service company, offering wealth management, asset management and related services. We are a partnership of seven owner managers and our principles of succession and transmission of ownership have remained unchanged since foundation in 1805.

Our purpose is to build responsible partnerships with our clients, communities, and the companies in which we invest, in order to safeguard and transmit wealth, of all kinds, in the service of the real economy.

With more than CHF 576 billion in assets under management or custody at 31 December 2019, Pictet is today one of the leading Europe-based independent wealth and asset managers.

Headquartered in Geneva, Switzerland and founded there, Pictet today employs more than 4,200 people. It has 28 offices in : Amsterdam, Barcelona, Basel, Brussels, Dubai, Frankfurt, Geneva, Hong Kong, Lausanne, London, Luxembourg, Madrid, Milan, Monaco, Montreal, Munich, Nassau, Osaka, Paris, Rome, Singapore, Stuttgart, Taipei, Tel Aviv, Tokyo, Turin, Verona and Zurich.

Job description : Your team As a AML / KYC Officer on the AML team of the Transfer Agent (TA) Department, you will be responsible for identifying investors with a risk-based approach during the account-opening process.

You will be in direct contact with these investors to collect and analyse the AML / KYC / tax documentation obtained from them to open their accounts, taking into consideration the regulations in force and any subsequent changes to those regulations. Your role

  • Applying a defined risk-based approach as part of the first line of defence, taking account of the legislation in force and internal directives (which requires knowledge of the specific structures) to define investors’ risk rating.
  • Collecting and carrying out first-level analysis on all documentation relating to the fight against money laundering and terrorist financing (AML) and Know Your Customer (KYC), including tax documentation (FATCA / CRS).
  • Identifying possible requests for exceptions to existing procedures, documenting these and referring them to the second line of defence.
  • Assisting with account openings, both low risk and high risk as well as complex structures, either by preparing the account-opening files or checking them.
  • Communicating with clients and investors both in writing and orally about required documents as per a defined checklist and about the ongoing process until account opening.
  • Providing regular KPIs on pending account opening.
  • Your profile

  • Master's degree in Finance / Economics / Engineering.
  • Experience (at least 3 years) in the field of AML / KYC and / or on a compliance team.
  • Experience (at least 3 years) of the account-opening process, including the expertise to deal with high-risk accounts from end to end.
  • Written and spoken fluency in French and English; Spanish, Italian or German would be an advantage.
  • Meticulous, detail oriented, organised and able to deliver the highest quality.
  • Dynamic, proactive in problem solving and with an entrepreneurial mindset.
  • Keen to continually improve processes, including an ability to innovate and simplify.
  • Team player and resistant to stress in a fast-paced environment.
  • Able to meet deadlines, prioritise and multitask.
  • Capable of communicating both promptly and clearly with clients about required documents.
  • Able to cope with a wide range of differing client requests promptly while still maintaining an exemplary sense of client service and applying a tailor-made approach.
  • Experience in the following would be a substantial advantage :

  • Knowledge of Luxembourg AML / KYC regulations as well as knowledge of the different roles in the investment fund industry (asset management, custodian bank, transfer agent and fund administration) and of the related regulatory framework.
  • Any FATCA / CRS experience / knowledge.
  • ACAMS certification or equivalent.
  • User of AML tools (Worldcheck, Pythagoras, Factiva, ).
  • Highly skilled user of Microsoft Excel and experience of accessing and using analytical tools simultaneously while never losing sight of the big picture.
  • Note We will not accept any CVs via agencies."In accordance with the provisions of the Luxembourg law of 23 July 2016 amending the law of 29 March 2013, candidates may be required to provide an extract from their criminal record.

    This document, issued by the authorities, must not be older than three months. Such a document will be requested with the aim of carrying out a character check on candidates, bearing in mind the area of activity of our establishment and, more particularly, the tasks described in the job description".

    Diversity & Inclusion Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace.

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