We have been engaged by an exciting fund management company to find their new Oversight Manager. In this role the successful candidate will be responsible for the supervision of the company's transfer agent partners, distributors and clients. Furthermore they will be responsible for the oversight of marketing activities to ensure the company's compliance with AML, KYC and KYD obligations, and the TA's compliance with the relevant regulatory framework.
- Ensure that all investor and agent records on the transfer agency and paying agent register are fully compliant with all anti-money laundering policies and procedures
- Draft procedures and processes; ensuring they are updated according to new policies and regulations
- Assess investor and agent documentation, ensuring their compliance with Luxembourg AML and KYC regulations
- Support investors and clients on all transfer agent and distribution related matter
- Monitor daily the transfer agent activity, including annual ongoing due diligence exercise
- Identify and escalate risk issues in accordance with internal policies
- Initiate and lead system change projects and participate in the operational reviews and readiness phases
- Lead and manage the negotiation of contracts and SLAs associated with the transfer agent activity
- Engage in all audit reviews whether internal or external preparation of audit packs
- Ensure timely and accurate transfer agent reporting to investors, distributors, CSSF; and monitoring the content of these reports
- Prepare monthly and quarterly reporting to management and various boards
- Provide marketing and sales support including managing online profile, mailings and dissemination to investors, distributors, etc.
- Bachelor's Degree or higher
- Minimum 6 years' experience in a similar role
- Excellent knowledge of the Luxembourg fund industry and distribution with very good understanding of local anti-money laundering laws rules and regulations
- Relevant internal audit, or compliance experience
- Project management skills
- Strong MS Excel and MS Word skills
- Proven ability to engage with clients, senior management and third party vendors.
- A self-starter with a strong sense of ownership and responsibility
- Excellent partnership and team management skills, with ability to work closely with various teams, business and other functional stakeholders
- Organized proactive and communicative with an ability to take initiative and assume responsibility
- Open-minded and capable of building productive working relationship