Transfer Agency Investor Onboarding Supervisor

4 months ago

Hong Kong, Hong Kong SAR China Brown Brothers Harriman Full time

At BBH we value diverse backgrounds, so if your experience looks a little different from what we've outlined and you think you can bring value to the role, we will still welcome your application

What You Can Expect At BBH:

If you join BBH you will find a 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, take on new challenges, 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 emphasizing good health, financial security, and peace of mind. Ultimately we want you to have rewarding work with the flexibility to enjoy personal and family experiences at every career stage. Our BBH Cares program offers volunteer opportunities to give back to your community and help transform the lives of others.

Brown Brothers Harriman & Co. is an award-winning provider of global custody, fund administration, transfer agent, foreign exchange and securities lending, for many of the world's most sophisticated mutual funds, investment managers, banks and insurance companies.

Our Investor Onboarding (“IOB”) team within our Transfer Agency Department will be responsible for investor due diligence and focused on providing quality AML/KYC review, assessment and technical investors’ account opening in accordance to our TA AML Program, applicable legal and regulatory requirements as well as internal policies and procedures.

The Role of IOB Supervisor will need to display a high degree of professionalism and integrity through solid Anti-Money Laundering (AML) / Know Your Client (KYC) knowledge and experience. Achieving this will also require strong interpersonal, articulation, analytical and problem-solving skills, attention to detail, ability to earn trust among team members as well as demonstrating value to our clients and investors.

Job Responsibilities

Perform investor due diligence in accordance with applicable AML jurisdiction(s) including but not limited to Hong Kong, Cayman Island, Bermuda, Ireland and Luxembourg Review and prescribe global AML/KYC documentation requirements for various investor types across APAC region. Carry out end-to-end KYC review, including AML risk assessment, local market or regulatory research, documentation check, name screening (PEP/Sanctions/Fraud alerts), AML escalation, operational account opening and static data updates Address AML/KYC or account opening related inquiry as received from clients / investors. Coordinate and collaborate with IOB / other functional teams locally and globally to provide seamless and quality support to clients and investors. Adhere to firm’s policies, guidelines, operations procedures and internal control measures to maintain high level of professional integrity. Participate in User Acceptance Testing related to any system implementation or enhancements. Assist in drafting and documenting procedures, policies and processes as necessary

Requirements

Minimum 3 years of working experience in the field of AML/KYC, Risk or Compliance. Transfer Agency experience and Supervisory experience preferrable. Sound AML/KYC knowledge, detail oriented and ability to perform independently. Ability to identify issues or operational gaps, recommend enhancing measures and effective interpretation / application of operations procedures. Good communications and interpersonal skills Ability to multi-task and handle high volume of work while maintaining accuracy. Good analytical mind and problem-solving skills Must be willing to work as part of a team in a client focused, high quality service environment. Good command of written and spoken English and Chinese. Banking or financial industry background or equivalent experience in AML/KYC or Transfer Agency Knowledge or prior experience with Multifonds TA is considered an advantage.

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