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 rotation 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

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

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


REQUIREMENTS:

• Minimum 5 years of onboarding experience with some exposure to Transfer Agency  preferred
• Supervisory experience is preferred
• 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
• Very strong command of English is necessary; proficient in Cantonese or Putonghua