Senior Associate

Summary: The purpose of the role is to receive, process, input and check customer information with an emphasis on Anti-Money Laundering and Customer Due Diligence documents. The individual will work on specifically assigned tasks to meet daily team targets and workloads. They will contribute towards the achievement of business deadlines and wider department service levels. This will be completed with a focus on Anti-Money Laundering including (but not limited to) the review of investor accounts of varying degrees of complexity to ensure the relevant Customer Due Diligence requirements are met.
Individuals will be expected to input and/or check to a high degree of accuracy with quality measures forming part of their individual performance assessment.
They will be expected to liaise with colleagues across all operational sites to ensure that issues or referrals are immediately escalated, and that work is executed in a timely and professional manner.
Inbound and outbound customer contact will be carried out in line with scripts, regulation and guidelines to ensure that customer outcomes are positive
Individuals will ensure that customer queries and handled in an appropriate manner to prevent complaint and dissatisfaction and that they are handled at first point of contact where appropriate and possible. The role needs to work in rotational shift as per business requirements.
Key Accountabilities And Main Responsibilities
Strategic Focus
Accurately process and / or review investor information with specific reference to AML
Confidently and competently handle queries for investors with complex account structures like POA, Trust, Charities, Clubs etc ensuring all information is accurate and up to date within the investor register.
Take ownership of workloads and customer satisfaction and maintain close contact with customers through inbound and outbound communication
Work with and support teams across multiple operational sites and take referrals on aspects relating to AML
Assist less experienced colleagues with queries on more complex cases and with first contact resolution on all aspects of work and specifically with regards to AML
Operational Management
Functioning as a technical specialist for complex account structures and queries
Resolve queries at first point of contact and ensure referral to relevant external parties as appropriate
Ensure all work within own allocation is processed effectively and in a timely manner as directed
People Leadership

• Act as a referral point for less experienced members of the team on technical and industry queries Maintain responsibility for own development Keep up to date with own professional accreditation and examinations Act as a senior member of the team with the capability and aptitude to be multi skilled across all investor types Ensure all feedback is responded to in a timely manner and that accounts/information is corrected appropriately and in line with guidelines
  

Education & Experience
A Bachelors or Masters Degree in Business Or Finance Or Banking related discipline from a reputed College/University.
3-7 years experience in Transfer Agency or similar profile
Soft Skills And Abilities

• Effective communication skills, both written and verbal
• Prioritization and time management skills, demonstrating flexibility and ability to work autonomously

  Looking to get Placed? Try our Placement Guarantee Plan

  Get Hired
• Demonstrates good teamwork ethic, showing willingness to assist peers and take on additional tasks
• Actively seeks out self-improvement, professional development opportunities and feedback
• Ability to work to tight deadlines and follow process
• Takes ownership of role, responsibilities and impact on the wider team
• Willingness to work in Rotational Shifts
• IOC certified- Introduction to Securities and Investments
  

Governance & Risk
Understand and effectively employ all relevant processes and systems within AML / CDD reviews
Maintain own training records and keep up to date with regulatory developments
Meet required service standards through maintaining required quality standards
Work timings: EMEA business hours