The primary responsibility of the Alts TA AML Associate II is to ensure JPMSE duties towards AML and Registration are monitored in line with the regulation as well as the JPMSE standards. The candidate will be in charge of the day to day activity of the AML Onboarding, Screening and Refresh in addition to the business activity management
• Ensure that all Investor and Agent records on the Transfer Agency register are compliant with all AML policies and procedures. The team is also responsible for Sanctions and PEP s
• Work closely with internal Compliance as well the Compliance and MLRO of the Funds when reviewing complex account opening requests and seek appropriate solutions.
• Attend client meeting and Due Diligence calls/Meetings.
• Ensure procedures update according to new policies and regulations, governance and recertification.
• Ensure timely and accurate responses to all account opening/refresh requests together with the provision of regular reporting. Engage with investors and clients to discuss documentation requirements.
• Engage in all audit reviews whether internal or external preparation of audit packs and be comfortable responding to auditor’s questions.
• Proactively lead continuous improvement initiatives.
Required qualifications, capabilities, and skills:
• Master’s Degree or Equivalent and minimum 3-5 years’ work experience in a similar position
• Excellent overall knowledge of the Fund Industry and especially on the Transfer Agent activities
• Very good understanding of local anti-money laundering laws rules and regulations and an ability to translate them into operational/process requirements
• At least 5 years of extensive relevant Investor AML/KYC experience
• Excellent Client facing skills would be considered a distinct advantage
• Strong sense of ownership and responsibility
• Open-minded and capable of building productive working relationships
Preferred qualifications, capabilities and skills:
• SSAE16/Long Form Report and other Audit experience
• Strong leadership skills to work across all levels of the organisation and bringing teams together to achieve results
• Organized proactive and communicative
• Ability to work in partnership with the larger Compliance group