Transfer Agency Investor Onboarding Supervisor

3 weeks ago

Hong Kong, Central and Western District, Hong Kong SAR China Brown Brothers Harriman Full time

At Brown Brothers Harriman, we value diverse backgrounds and expertise. If your experience looks different from what we've outlined, we welcome your application.

What You Can Expect:

As an Investor Onboarding Supervisor, you will work in a collaborative environment that enables you to add value wherever you can. You will have direct access to clients, information, and experts across all business areas around the world. We provide opportunities to grow your expertise, take on new challenges, and reinvent yourself without leaving the firm. Our culture of inclusion values each employee's unique perspective. We offer a high-quality benefits program emphasizing good health, financial security, and peace of mind.

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

The Investor Onboarding team within our Transfer Agency Department is responsible for investor due diligence and focused on providing quality AML/KYC review, assessment, and technical investors' account opening in accordance with our TA AML Program, applicable legal and regulatory requirements, as well as internal policies and procedures.

The Role of IOB Supervisor requires 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 the 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 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 a 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 are preferable.
  • Solid 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 volumes 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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