Transfer Agency Investor Onboarding Supervisor
Brown Brothers Harriman
il y a 24j

As a Transfer Agency Investor Onboarding Supervisor, you will be responsible for directing team members within the Investor On Boarding Team with the objective to achieve overall high client satisfaction.

You should display a high degree of professionalism and integrity through your work and will possess solid experience in an Anti-

Money Laundering (AML) / Know-Your-Client (KYC) role within a Client On-Boarding team or Anti-Money Laundering Remediation team.

Achieving this will require strong people management, initiative, and attention to detail as well as the ability to delegate and to gain the commitment among team members.

Key responsibilities : 1. Product :

1. Product :

  • Overseeing the day-to-day activities of the Investor On Boarding Team
  • Review and approval of global AML / KYC requirements for varying investor types
  • Follow up and oversee the remediation of accounts that are non-compliant to in adherence with current local regulations
  • Ability to handle special processing situations including exceptions that require strong oversight
  • Set up weekly shift rota in conjunction with the various tasks and skill set of the team members
  • Review and discuss with the IOB Manager, Compliance, Senior Management any issues including AML / KYC requiring escalation
  • Ensure that policies and procedures are adhered to on a daily basis and have this evidenced.
  • Actively participate and work with Client Service Managers and TA Production Support in the launch of any new or incremental business such as new funds / share classes, including account opening.
  • Oversee the accurate preparation of any sample files required for internal or external audits
  • Possess an in-depth understanding of AML / KYC due diligence requirements on a range of institutional clients types with different legal structures, in all jurisdictions, to support businesses across various product groups including Real Estate Funds and Equities
  • Fully conversant with the AML / KYC rules and regulations.
  • Solid proven experience in an Investment Bank within a Compliance / on-boarding team
  • Review publicly available sources for information pertaining to client due diligence (e.g. Stock Exchange)
  • Assist in drafting and documenting procedures, policies and processes as necessary
  • In-depth understanding of typical legal structures including hedge funds, special purpose vehicles, partnerships, trusts and charities
  • 2. Client Relationship :

  • Establish, together with the IOB Manager service standards and procedures for the IOB Team
  • Responsible for instituting and reporting on measures to determine the team's performance in meeting these standards
  • Remain knowledgeable of changing industry initiatives (attend presentations, work sessions & personal effort) and educate clients continually through presentations
  • Establish solid contacts with all areas and all levels at clients’ organizations as well as inter departmental
  • 3. Human Resources Management :

  • Responsible for the cross-training of staff on all aspects of Transfer Agency functions to develop depth and breadth of knowledge
  • Undertake the BSC Review of team members and recommend promotions to the Registration / IOB Manager
  • Work with management to address the training needs of the group (including the industry specific topics)
  • Establish successful level of synergy within TA team
  • Co-ordinate both team and individual meetings which must include action points and follow up
  • 4. Improve Efficiency :

  • Review and reorganize, together with the Registration / IOB Manager and peers, functional tasks for maximum efficiency
  • Minimize overtime and implement additional efficiencies as automation projects are completed
  • Manage controls efficiently to alleviate any potential risk areas
  • Must be willing to work as part of a team in a client focused, high quality service environment.
  • Progressive attitude to work, with a view to continuous improvement
  • Proven aptitude for problem solving
  • 5. Accuracy and Efficiency

  • Efficient implementation of daily controls to ensure that at all times accuracy standards and deadlines are met
  • Keep Errors and Omissions at a strict minimum at all times
  • Ensure shareholder files are kept up to date with relevant information including AML / KYC information
  • Qualifications :

    1. Education level and / or experience

  • Minimum of 5 years Transfer Agency experience, 2 years of which must be in a similar function, i.e. Transfer Agency Anti-Money Laundering
  • Minimum of 1-2 years supervisory experience
  • 2. Knowledge and skills

  • Good knowledge of AML / KYC legal requirements aligned to current regulations
  • Ability to liaise across departments / functions when needed to handle specific client requests
  • Ability to identify, recommend and implement improvements to existing processes
  • Fluency in English is mandatory; German and / or French are considered a plus
  • Knowledge or prior experience of Multifonds TA is considered essential / an advantage
  • Good knowledge of standard Office applications. (MS Word, Excel, Powerpoint)
  • What You Can Expect At BBH :

    If you join BBH you will find collaborative environment that enables you to step outside your role to add value wherever you can.

    You will have direct access to clients, information and experts across all business areas around the world. BBH will provide you with opportunities to grow your expertise, to take on new challenges, to maximize your potential and reinvent yourself without leaving the firm.

    We encourage a culture of inclusion that values each employee’s unique perspective. We provide a high-quality benefits program, which emphasizes good health, financial security, and peace of mind.

    Ultimately, we want to provide you with a position which, at the same time, is both rewarding and allows for a balanced professional and personal experience at every stage of your career.

    We, here at BBH, focuses on more than just the financial and business thrive. Through our BBH Cares program we offer volunteering opportunities giving you the opportunity to give back to your community and to help transform the lives of others.

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