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AML/KYC & Transfer Agency oversight, Senior Specialist

Schroders Investment Management
Luxembourg
Mise en ligne il y a environ 9 heures CDI Competitive
AML/KYC & Transfer Agency oversight, Senior Specialist

AML/KYC & Transfer Agency oversight,
Senior Specialist

Who are we looking for
We in the Distribution Control Department are looking for a self-starter who can work independently, has strong analytical skills, is flexible and has strong knowledge in AML/CTF processes. We are responsible for the performance of initial and ongoing due diligence on Schroders' clients and business partners. We as a team are all curious and interested in delivering high quality reports that the management can use to take decisions. Ideally, our future colleague should have a good understanding of distribution in the public and alternative assets space. The candidate should also be fluent in English and any other spoken European language would be an advantage.

About Schroders
We're a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future.

We have around 5,000 people on six continents. And we've been around for over 200 years, but keep adapting as society and technology changes. What doesn't change is our commitment to helping our clients, and society, prosper.

What will be your main responsibilities:
The role of the Senior Specialist AML/Know Your Customer is the performance of initial and ongoing AML/KYC due diligence on clients investing in Schroders Investment Management Europe (SIM EU) products.
Manage effectively the day to day responsibilities pertinent to the Initial and Ongoing Due Diligence activities with an emphasis on quality and the awareness of money laundering risk linked to customers investing into SIM EU funds or service.

The Senior Specialist will have at least the following duties and responsibilities:
  • Maintain 1st line of defence compliance with Financial crime policy and Schroders distribution' principles.
  • Develop effective controls related to AML/KYC in line with regulatory requirements and market practice.
  • Closely work with the Client Service Team (Client Service Managers) with gathering the AML/KYC and business required information.
  • Take ownership of complex AML matters or screening alerts and provide support to team members.
  • Identify, manage and mitigate AML related tasks; report and escalate AML risks as needed.
  • Ensure that all documents related to clients are properly documented and accessible to internal and external auditors following required quality checks.
  • Work closely with Compliance, Internal and external Audit by performing quality check on AML files provided to them.
  • Ensure all activities are in line with Schroder's Group Due Diligence Mandatory Procedures.
  • Contribute to Schroders Business Committte by presenting the result of the due diligence performed and the oversight activities conducted on TA delegates.
  • Participate in service calls, annual onsite visits and perform a quarterly/annual sample check on AML/KYC files of the different TA delegates.
  • Ensure regular and accurate AML/KYC reporting on the oversight activities to Schroders Business Committee, the Boards and the Management Committee.
  • Support the Head of Distribution Control in performing his duties.
  • Ensure all activities are in line with Schroder's Group Due Diligence Mandatory Procedures.

The knowledge, experience and qualifications that you will need:
  • A proven career in AML/KYC (minimum of 3 years) at a TA with in-depth knowledge of AML/KYC regulatory requirements and market practice, particularly in Luxembourg.
  • A good understanding of the TA processes in terms of AML/KYC due diligence and in particular familiar with the 4 eyes checks and quality controls required in the context of delegation of tasks.
  • Knowledge of the Commission de Surveillance du Secteur Financier (CSSF) regulations with regards to AML/CTF due diligence.
  • A strong interpersonal skills with ability to communicate at all levels.
  • A proven teamwork mindset and organisational skills.
  • Excellent relationship building skills with internal stakeholders: Client Service Team, MLRO (Money Laundering Reporting Officer), Legal and Compliance.
  • A University degree or relevant professional qualification.
  • A strong knowledge of Microsoft Office, in particular Excel and Word.

What we require from you:
  • You are a decision taker with a solution-oriented mind-set, capable of taking initiatives.
  • You can multi-task, work under pressure with respect to the deadlines.
  • You are able to work in a dynamic and changing environment.
  • You are enthusiastic with a positive can-do attitude.
  • You gain commitment through excellent influencing skills.
  • You never compromise on quality of the AML and tax reviews; adhere strictly to the policy
  • You pay good attention to detail while appreciating the bigger picture
  • You are focused and follow topics till their full resolution
  • You are a team player

We are looking for a candidate who has passion, enthusiasm, desire, and ability to move things forward. The successful candidate will be part of a young dynamic team and will share with us daily challenges and successes.

Référence  4467
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