Registration Team Manager
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Description:
- Managing and overseeing day to day activities in line with internal and external SLA timeframes - pro-active escalation to senior VP of any potential non-compliance matters
- Identifying gaps in controls and processes and putting process improvement suggestions forward in a professional manner
- Assisting with new client on-boarding through reviewing draft documentation
- Being initial point of escalation for investor, client and internal enquiries for KYC
- Relaying full CDD requirements to Investors in relation to new and periodic reviews
- Sign off of all new or updated KYC files
- AML servicing for existing client base and for new clients on-boarding
- Ensuring adherence to all policies & procedures, local laws and regulations
- Reviewing AML documentation for subscriptions, redemptions, remediation of existing client base and ongoing Investor screening
- Responding to investors on AML related queries and AML escalations in timely manner
- Participating in and ownership of ad hoc projects
- Daily oversight of time card completion and data quality
- Liaising with Compliance on Complex cases
- Ensuring all deliverables are met and any anticipated delays escalated
- Training of staff
- Full understanding of FATCA/CRS and the ability to apply FATCA/CRS classifications
- Working as part of a larger global team in the case of outsourced activities
- Checker duties – system generated data / e-mails of more junior staff / outgoing reporting
- Oversight for and checking of all aspects of operations and controls, including AML System updates, performing Anti-Money Laundering (AML) checks and FATCA / CRS reviews
- 5 years+ proven experience in a Registration Team with particular experience in an AML supervisory role
- Knowledge of Transfer Agency operational processes and its integration with AML processes would be an advantage
- AML Knowledge of local and global requirements
- FATCA/CRS – ability to review Self Certification documents, classify accounts and understand XML reporting requirements
- Strong planning and organizational skills
- Strong communication (verbal and written) and problem-solving skills
- The ability to work with all levels within the organization
- Strong multi-tasking skills
- The ability to adapt to changing priorities and varied decision-making scenarios
- An understanding of fund structures and the fund administration business and ensuring more junior staff have sufficient knowledge and skills
- Good interpersonal skills to develop working relationships with colleagues and clients
- The ability to work to tight deadlines in a proactive fashion
- Ability to identify opportunities for process improvements and to communicate same effectively
- Proficient in Microsoft Office applications
- A genuinely unique opportunity to be part of an expanding large global business
- Exposure to all aspects of the business, cross-jurisdiction and to working with senior management directly
| Organization | Apex Group |
| Industry | Management Jobs |
| Occupational Category | Registration Team Manager |
| Job Location | Montreal, QC, Canada |
| Shift Type | Morning |
| Job Type | Full Time |
| Gender | No Preference |
| Career Level | Experienced Professional |
| Experience | 5 Years |
| Posted at | 2022-09-21 4:24 pm |
| Expires on | Expired |