Investor Services Onboarding Supervisor

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Job Description

Investor Services Onboarding Supervisor

US Bank Global Fund Services is looking to hire an Investor Services Onboarding Supervisor.

The Investor Services Onboarding Supervisor reports to the Senior AML Manager of Investor Services Onboarding and assists with the day-to-day supervision of the team. The team is principally responsible for the processing of investor application forms, FATCA/CRS documentation and the performance of AML investor due diligence during account opening and on an on-going basis throughout the life of an investor’s relationship with a fund. 

The Investor Services Onboarding Supervisor is responsible for the daily sanction, adverse media and PEP screening process and oversight of transaction monitoring programme.

The Supervisor is also responsible for annual FATCA and CRS filings on behalf of fund clients and will participate in client AML due diligence visits and fund board meetings in relation to AML and FATCA/CRS matters. They will work with the team manager to ensure the investor on-boarding team has appropriately documented procedures and processes in place and will also contribute to policy decisions with the Company’s MLRO.

The Supervisor will, from time to time, be responsible for communicating and acting as an escalation point for clients and will be required to collaborate closely with other departments, including particularly the transfer agency, the MLRO and the compliance team.

The role requires extensive AML knowledge and the expertise to opine on and process complex and high-risk AML cases.

Responsibilities

Investor Onboarding

Assist with the management of the daily operations of the Investor Services Onboarding team

Ensure that all relevant responsibilities are carried out and prioritised in accordance with deadlines

Implement new or enhanced procedures or processes as required in line with updated regulations / client requirements

Maintain oversight and follow up in relation to outstanding matters and escalate as appropriate

Assist with client due diligence visits

Client communication and point of contact for escalation

AML

Provide oversight of new investor account opening to ensure compliance with AML and FATCA/CRS requirements

Assist the investor services team and provide guidance on AML and FATCA requirements

Act as primary contact for more complex and high risk AML cases for clients and direct/indirect reports

Oversight of the review of AML on a trigger event basis or as part of a cyclical review process

Review AML outstanding on a monthly basis and reporting and escalation of aged items

Carry out remediation of AML documentation where necessary

Responsible for adverse media and PEP screening to ensure alerts are adequately investigated and the rationale for clearing is documented appropriately and on a timely basis

Oversight of transaction monitoring programme and ensure alerts are adequately investigated and the rationale for clearing is documented appropriately

FATCA/CRS

Completion of annual FATCA/CRS filings

Assist Investor Services team with complex cases and provide guidance

Assist with investor and client queries

Requirements:

3rd level qualification

Minimum of 3-5 years’ experience in Investor Services / Onboarding

Extensive knowledge of AML

Excellent organisational skills and a high attention to detail

Excellent PC skills (good knowledge of Microsoft Excel and Word essential)

Self-motivated, innovative and analytical

Ability to work well as part of a team

Excellent client communication skills

Team leadership skills

If there’s anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants.

Benefits:

Our approach to benefits and total rewards considers our team members’ whole selves and what may be needed to thrive in and outside work. That’s why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind.

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