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Securities Services provides robust and reliable solutions that enhance performance and mitigate risk, today and in the future. Working with institutional investors, banks, insurance companies, governments and multinational corporations, Securities Services offers a range of fund administration, global custody, sub-custody and clearing, and corporate trust and loan agency services.

We are currently seeking a high calibre professional to join our team as a Manager, Transfer Agency (VP).

Principal Responsibilities

You will be responsible for the quality review of KYC documentation for existing and new investor accountsYou will carry out the classification of the accounts in low/medium/high risk categories using the agreed risk-based approachYou will ensure the proper recording of the review findings in AML database as well as the proper retention of all documentation both in physical and electronic formatYou will perform regular periodic checks on procedures and controls to ensure these are compliant with the current applicable corporate functional manual requirements (FIM) and with Luxembourg regulationsManaging a processing/servicing team and ensure that optimum levels of operational efficiency are achieved to capitalize on the growth of registrar/transfer agency businessAssisting in coaching and training subordinates/ newcomers and providing guidelines when necessary to team members on various issuesPlanning, managing, and controlling all aspects of team operations to ensure maximum profitability and attainment of business and operating objectivesTo take up / lead an ad hoc project as assigned from time to timeHandling Investor account opening, AML/KYC process and the related enquiry from Investor or Fund ManagerEnsuring daily TA transactions of subscription, redemption, transfer, are handled timely and accuratelyCoordinating with City site colleagues in delivering TA service to investors and clientsMaintaining internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators

Principal Accountabilities

Impact on the Business

Check and authorize all instructions and ensure they are processed correctly and punctuallyFollow up outstanding issues

Customers / Stakeholders

Provide professional investor services to fund managers and investorsLiaise with relevant business partners such as CS teams, BD, Centre of Excellence and other entities to ensure quality service is delivered

Leadership Teamwork

Team ManagementEnhance relationships with other teams within the department and other departmentsLead ad hoc projects

Operational Effectiveness Control

Thorough understanding of agreed procedure / flows and client’s specific requirementsHelp to streamline and standardize the daily processes