Founder at Wellspring Consultancy
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Operations Manager - Investor AML - Financial Services (12-14 yrs)
We are hiring Operations Manager - Investor AML in Transfer Agency for our Financial Services client based at Pune location.
At Operations Manager level, the role requires the provision of leadership and guidance to colleagues and Company's partners to support AML compliance services aligned to :
- AML Legislation/Regulation & Guidance/Best Practice.
- Ireland & UK Investor AML processes and procedures.
- Organisation's Compliance, Risk and Audit programs.
There is a requirement to hold, build and maintain a very strong relationship with the Company's Investor AML Department in Ireland to deliver a robust AML Compliance service to client and investor base.
SKILLS / EXPERIENCE :
- Knowledge of day-to-day Investor AML processes and procedures and the wider funds administration business.
- Previous people management experience.
- Previous experience in an Investor AML servicing role.
- Strong organisational and communication skills.
- Effective risk management.
- Ability to research and understand complex issues and deliver solutions agreed with line management.
- General knowledge of the global Investor AML regulatory environment.
- General knowledge of Microsoft Office applications relating to designated areas of responsibility
PRINCIPAL RESPONSIBILITIES :
- Takes responsibility for the timely and accurate completion by Investor AML support partners of workload allocated including tasks processed through Northern Trust's workflow process; transaction monitoring and screening alerts; periodic investor documentation reviews and investor transitions into and out off organisation.
- Leads Investor AML support partners- review of investor documentation and information in adherence with organisation's AML processes and procedures.
- Works with direct and indirect reporting partners in reviewing such investor documentation and efficiently highlighting outstanding investor due diligence documentation (if any) to the Investor AML Department in Ireland, by agreed modes of communication, with professionalism of approach and timely escalation of material issues arising.
- Assists with the more complex problems and critical issues as escalated from within the Investor AML support team in Bangalore or Pune, as well as those received from other client partners (including primarily the organisation Investor AML Department in Ireland).
- Takes ownership for completion of support services for Ireland & UK Investor AML processes and procedures in conjunction with organisation colleagues in Ireland and provides regular, meaningful and accurate periodic updates to his/her line manager and colleagues in Bangalore, Pune and Ireland.
- Leads the development and maintenance of strong working relationships with partners in organisation Investor AML Department in Ireland.
- Works with his/her line manager and other colleagues to ensure that the Investor AML support teams in Bangalore and Pune meet the required audit, risk and compliance standards as determined, from time to time, in accordance with advised changes in processes and procedures pursuant to amendments in prevailing legislation, guidance and best practice.
- Maintains an up to date knowledge of Investor AML good practice and uses this knowledge to promote enhancements to organisation's AML processes and procedures.
- Performs additional work where volume or absence requires such workload to be completed.