Transfer Agency AML KYC Manager
JPMorgan Chase and Co
Senningerberg, Luxembourg, Luxembourg
il y a 4j

Job Description

The TA AML refresh team carries out regular review and risk assessments of know your customer (KYC) / anti-money laundering (AML) cases within Luxembourg Transfer Agency (TA) Operation.

The main function of the team is to perform the annual ongoing due diligence, risk re-assessment and investor identification process for all investor accounts.

This includes financial crimes compliance covering AML, sanctions screening, controls regarding the financing of terrorism, bribery or corruption.


The principal objective of the position is to contribute on day to day management of the AML refresh team within Transfer Agency Operations for our Luxembourg clients and act as an escalation point for complex AML queries for team members.

The AML refresh team’s primary task is to review the risk provision of TA investors and re-assess which KYC documentation is necessary to perform the identification of complex entities in accordance with the current regulatory requirements in Luxembourg, alongside JP Morgan policies and procedures as defined by individual clients (i.

e. the investment funds serviced by JP Morgan in their capacity as transfer agent). This will include the following :

  • Process AML / KYC assessments as they relate to Account Maintenance within the applicable deadlines.
  • Track pending AML / KYC documentation per investor account and per fund promoter.
  • Review and respond to AML related queries across all clients within agreed time frames.
  • Run, review and update AML reports and provide these reports to Clients / Investors.
  • Implement and keep up to date procedures that ensure the team is compliant with all AML / KYC and Financial Crimes prevention policies.
  • Contribute on and prepare / discuss AML reviews, plus any audit related exercises (e.g. SSAE16, Long Form Report, Internal / External audit, QA etc) as required by Compliance and by the business
  • Process manager-level name and transaction monitoring screening and uploads in AML Fundsphere tool and analyse potential suspicious activity reports Process Pledges as required;
  • provide guidance on probate cases

  • Support TA on complex account and / or payment related queries
  • Provide advice and guidance on regulatory requirements (internal)
  • Assist in explaining regulatory requirements to clients and investors.
  • Manage team members, hold regular one-to-one meetings with individual team members
  • Ensure that all team members have adequate training and development plans in place
  • Hold regular review with staff members in line with the annual appraisal cycle.
  • Ensure that AML team objectives and processes are aligned with larger strategic initiatives
  • Qualifications / Skill Profile

  • Strong overall knowledge of the Luxembourg Fund Industry.
  • Very good understanding of local anti-money laundering laws, rules and regulations, in particular circulars and laws issued by the CSSF as relates to AML / CFT, e.
  • g. CSSF Regulation 12-02, AML Law of 12 November 2004

  • Extensive relevant Compliance, AML and data privacy experience or other related experience, e.g. legal, risk management, audit etc.
  • Proven knowledge of regulatory requirements and an ability to translate them into operational / process requirements.
  • Ability to work in partnership with the larger Compliance group
  • Fluency in English. German, French or other European languages would be considered a distinct advantage
  • SSAE16 / Long Form Report and other Audit experience
  • Open-minded and capable of building productive working relationships
  • Organized, proactive and communicative with an ability to take initiative and assume responsibility
  • Good staff management experience / skills
  • Good work experience in a similar position
  • Master’s Degree or Equivalent an advantage
  • Same Posting Description for Internal and External Candidates

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