Negative News [NNS] and Politically Exposed Persons [PEP] Screening - the process of screening investors, their directors & beneficial owners against news media articles / politically exposed person (PEP) lists on regular basis to negate any potential AML / franchise risk associated with doing business with them. Sanctions Screening - the process to identify whether the investors, their directors & beneficial owners is prohibited under trade or economic sanctions lists, and / or may pose money laundering or any related risk to the firm. Performance of detailed screening and or ongoing sanction, adverse news & PEP reviews utilizing available tools, various third-party and internal databases Perform name screenings [NNS, PEP, Sanction] of real time hits for potential sanctions matches to designated sanctions targets and prohibited persons lists, violations as per the internal and external watchlists. Ensure accurate, complete, and up-to-date internal documentation to provide evidence of decisions and reasoning based on the facts and the potential ML/FT risk identified. Ensure that the alerts processed are accurate and completed within the specified time period. Provide inputs in order to refine automated sanctions screening risk methodology, reduce false positives, mitigate sanctions risks and improve customer experience. Manage the investor onboarding screening process, including the setup of new accounts and verification of investor information. Work closely with senior management to ensure high impact client delivery is produced in day-to-day operations and keep them apprised of any issues. Ensure high levels of client satisfaction by delivering consistent, high-quality services. Manage the resolution of complex investor inquiries or disputes, working closely with other departments as needed. Develop and maintain strong relationships with key stakeholders, including investors, fund managers, and internal teams. Ensure all AML - Screening operations comply with relevant regulatory and legal requirements. Monitor operational risks and take proactive steps to mitigate any issues related to compliance, accuracy, or fraud. Ensure that line management, risk team/senior management are made aware of any AML/KYC - Screening issues in a timely manner. This will include escalating for action as well as escalating for outcome. Maintain up-to-date knowledge of clients, industry regulations, compliance standards, and market trends. Reviewing procedure documents and updating it with any new regulatory changes. Take ownership for the effective communication and resolution of issues. Ensure that line management are made aware of any operational issues in a timely manner. This will include escalating for action as well as escalating for information. Play a central role in the resolution of the specific issue, drafting of incident reports and in reporting to the line management. In conjunction with line management, communicate the initial issue and ongoing status to the risk team/senior management. Play a role in ensuring that appropriate actions are taken to prevent a recurrence (e.g. employee training, procedural changes, system enhancements, etc.) Process improvement and Operational Efficiency: Work closely with technology teams to automate and streamline processes where possible. Ensure that all activity is processed in line with the fund documentation, anti-money laundering requirements, statutory regulations and company policies and procedures. Ensure that KYC records of the investors are maintained in a complete and organized manner. Manage the investor onboarding process, including the setup of new accounts and verification of investor information. Ensure that each work product is supported with work instructions and other guidance material to make deliverable both efficient and reliable in quality. Prepare and present detailed reports on AML - Screening operations to senior management, highlighting key performance metrics and any issues that may require attention. Analyze operational trends and provide insights to enhance service delivery and reduce inefficiencies. Provide regular reports on team performance, AML assignments, client/investor feedback and satisfaction, and other key performance indicators (KPIs). Analyze operational data to identify trends and areas for improvement. Ensure timely and appropriate follow ups on pending items and update systems accordingly. Investigate fully, and where necessary ask probing questions to ensure that the issue is understood, and guardianship maintained. Analyze operational data to identify trends and areas for improvement. Work closely with other departments (e.g., IT, AML/KYC, Investor Relations, Documentation, Global Financial Crimes, Risk, Accounting) to resolve issues and optimize service offerings. Collaborate with the client facing, accounting, conversion, IT teams to address client concerns and ensure the smooth onboarding of new investors. Assist in the development of new tools, frameworks & services for enhancing AML systems by providing operational insights. Lead, train, motivate, mentor, and develop a team of AML professionals. Communicate team objectives, demonstrate sense of ownership and accountability. Ensure that individual team members are aware of the policies, controls and procedures that apply to their role. Foster a positive and productive team environment to meet organizational goals. Identify areas for skill development. Building AML process instructions for each topic that help new hires understand the process faster. Work closely with senior manager to ensure high impact client delivery is produced in day-to-day operations. Managing the delivery of services to clients against a pre-agreed service level agreement. Providing oversight and guidance to their team. Providing AML expertise and help to resolve issues arising from AML process. Should be able to determine risk-based approach and accordingly advise the team to process AML reviews. Ensuring that their team delivers services in a timely, accurate and compliant manner. Ensuring that the team has appropriate cover in place to cope with annual and ad-hoc leaves. Develop and maintain rapport with peers, colleagues, and offshore counterparts. Providing a point of escalation to team leaders and other team members as appropriate. Keeping management appraised of operational issues in a timely manner. Ensuring that line management are made aware of any HR or individual performance issues in a timely manner. Master's Degree / MBA in Finance, Accounting, Economics, or a related field. Preferably in a business or numerical discipline. Certification in a professional association such as the Association of Certified Anti- Money Laundering Specialists (ACAMS) would be helpful. 6-8+ years of AML/KYC - Screening experience within a regulated financial services firm / Fund administration, or a similar operational role within financial services. Strong leadership, interpersonal, and communication skills. Experience with process automation and efficiency improvement initiatives. Good administrative and organisational skills with a particular focus on accuracy and attention to detail. An ability to work and lead under pressure, lead as part of focused globally team and an ability to cope with increased workloads at month-end. Prior experience in hedge fund operations, AML/KYC, Screening, or a similar financial services role is preferred. Well verse with KYC documentary requirements as per Simplified Due Diligence (SDD), Client Due Diligence (CDD), and Enhanced Due Diligence (EDD) standards. Knowledge of financial regulations (e.g., AML/KYC) is preferred. Exceptional analytical and problem-solving skills with a focus on process optimization, ability to understand complex client exceptions, offerings, transactions. An ability to work as part of a virtual team that is spread across different time zones and geographies. Ability to use key financial systems and other IT tools. Strong knowledge of financial products, markets, and AML/KYCs operations. Proven leadership skills and experience managing a team. Excellent problem-solving, communication, and interpersonal skills. In-depth knowledge of regulatory requirements related to AML/KYCs (e.g., SEC regulations, anti-money laundering). Strong analytical skills with the ability to interpret data and generate reports. Proficient in Microsoft Office Suite and experience with AML/KYCs platforms or CRM tools. Excel basics - Must have Advance excel skills - Fundamentals of VBA - Must have VBA coding - Good to have Any Digital tool experience (Alteryx , Tableau, Xceptor, Power BI, etc)- Good to have Comfortable with Microsoft office: Outlook, Excel, Word, PowerPoint, Visio, Share point, Access Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.
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