AML/KYC Senior Officer

The transfer Agent department acts as the main point of contact between investors and the fund as well as managing relationships with local and foreign Transfer Agents. The department is responsible for overseeing, monitoring and controlling the register of shareholders or unitholders, dealing activity (subscriptions, redemptions, etc.), and transfers, and ensuring investor servicing is compliant with regulatory standards in addition to KYC activities and first controls. Oversight and coordination of TA and KYC activity is centralized into this department.

• Act as a point of contact for investor queries and support the Head of TA & KYC in client meetings and regulatory discussions.

• Coordinate and oversee the execution of investor onboarding and KYC reviews, ensuring compliance with internal policies and regulatory requirements.

• Prepare and contribute to regular reporting addressed to the Board of Directors, Fund Boards, the Management Committee, Group functions, auditors and regulatory authorities.

• Manage recurring follow-up calls with delegated Transfer Agents.

• Perform and coordinate transaction monitoring reviews, investigate unusual transactions and ensure appropriate escalation and documentation.

• Perform ongoing AML/CFT monitoring, testing and oversight of delegated service providers (Transfer Agents, distributors and investment managers).

• Ensure accurate maintenance of the shareholder/unitholder KYC database.

• Assist in the implementation and maintenance of AML/KYC policies, procedures and controls.

• Perform AML/KYC oversight of delegated Transfer Agents, distributors and other relevant service providers, including periodic reviews, KPI monitoring, control testing and escalation of deficiencies.

• Perform AML/CFT risk assessments and periodic reviews of investors, ensuring the application of a risk-based approach.

• Participate in the review and update of operational procedures.

• Support internal audits, external audits and regulatory inspections relating to AML/KYC matters.

• Escalate AML/CFT concerns, sanctions matches and high-risk investor cases to senior management and relevant control functions.

• Contribute to process optimization, automation, and digitalization initiatives within the TA & KYC department.

• Participate in training and development activities to enhance service delivery and compliance standards.

• FATCA/CRS Investor and Reporting Oversight.

• Manage the day-to-day operational aspects of KYC activities.

• Ensure high quality service standards and a strong client-centric approach.

Education & Experience

• University degree in Finance, economics or engineering. Minimum 5 years of experience in KYC/AML processes with exposure to UCITS and Private Asset funds.

• Good knowledge of Luxembourg fund structures (UCITS, AIFs) and related regulations.

• Experience with TA or KYC systems (e.g., Multifonds, Investran, eFront, Fenegro, Cascade, Worldcheck, Metrosoft) is an asset.

• Excellent modelling skills in MS Excel, Power BI as well as skills in Power Point and Word.

• Asset Management (i.e. Management Company, Portfolio Management, Depositary or Transfer Agency, etc.) experience or law firm is/are considered an advantage.

• Up to date with current regulations and laws applicable in the funds industry, particularly in regard to AML/CFT.

• Capability to work independently.

• Experience in developing a risk-based compliance program with a focus on first line controls.

• Experience in mastering the screening tools features.

• Well-developed organizational skills, flexibility, ability to deal with different departments within the organizational framework.

• Good analytical skills and ability to articulate issues, formulate and present recommendations.

• Professional AML certification (e.g. CAMS, ICA, ACAMS or equivalent) would be considered an advantage.

Languages:

• Fluent in English (oral and written); the knowledge of French or Italian is considered as a plus_._

Soft Skills:

• Well-developed organizational skills, flexibility, ability to deal with different departments within the organizational framework.

• Excellent presentation and communication skills.

• Excellent attitude for thorough analyses and for problem solving.

• Ability to work in a small and highly professional environment and to work under pressure while maintaining high qualitative standard.

• Good problem-solving skills and ability to manage multiple tasks and deadlines

• Strong interpersonal skills and ability to build positive relationships internally and externally.

• Project-oriented

As part of GIL pre-hire background screening process, we apply a risk-based approach to determine the requirement of carrying out such checks on candidates, including criminal record checks. By applying for this job, you are consenting to GIL completing background checks including criminal record checks if deemed necessary.

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