Transfer Agency Investor Onboarding Operations Manager
7 hours ago
Company Overview
Brown Brothers Harriman & Co. is a renowned provider of global custody, fund administration, transfer agent, foreign exchange and securities lending services to many of the world's most sophisticated mutual funds, investment managers, banks and insurance companies.
Job Summary
We are seeking an experienced Transfer Agency Investor Onboarding Operations Manager to join our Transfer Agency Department. The successful candidate will be responsible for leading our investor due diligence process, ensuring high-quality Anti-Money Laundering (AML) / Know Your Client (KYC) reviews, assessments and technical account openings in accordance with our TA AML Program, applicable legal and regulatory requirements as well as internal policies and procedures.
Key Responsibilities
- Perform thorough 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 inquiries 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 preferred.
- 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 communication 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.
Estimated Salary
$80,000 - $120,000 per annum, depending on experience.
Benefits
At Brown Brothers Harriman, we offer a comprehensive benefits package, including:
- Competitive salary and bonus structure.
- Excellent health insurance coverage.
- Pension plan and retirement savings program.
- Generous paid time off and holidays.
- Professional development opportunities and training programs.
- Flexible work arrangements and remote work options.
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