Due Diligence Analyst (PE-11271)
The team forms a critical control function within the Global Onboarding Function. In addition, the function includes Onboarding Implementation (being responsible for the onboarding of portfolios and advises critical client change events such as benchmark and other investment guideline updates), and Onboarding Contracting (which owns the terms of investment management agreements with new clients and leading change for existing clients with respect to the contractual set up).
What you’ll be doing:
• Ensuring fund distribution partners meet applicable AML/KYC requirements and that the appropriate AML/KYC process is followed for all new distributors and client file refreshes to mitigate risk.
• Ensuring that all completed AML/KYC, tax, contractual and other documentation is accurately filed, stored and retrievable and supporting the ongoing client and firm requirements.
• Accurately bringing together and reviewing contractual data and documentation for new and exiting clients, ensuring its accessibility to the wider business. Answering queries from the business on the data here therein.
• Partnering with Legal & Compliance and other internal partners to deal with exceptions and ensure our policies are appropriately followed.
• Leading the development and implementation of the control environment, policies and procedures. Looking for ways to innovate and drive the business forward, delivering an outstanding client experience.
• Leading projects within the remit of the team, ensuring that change implications are understood and that the client experience is assured.
• Demonstrating a good understanding of the financial markets and regulatory changes, and consider how this may impact our processes and client arrangements.
• Producing daily/monthly statistics for the local and global leadership and internal oversight functions, prepare policies, procedures and presentations as required.
• Leading a small team, acting as a first point of contact.
Ideally You should have:
• Experience with handling of client documentation, preferably with either AML/KYC laws and regulations, broader documentation and data management within financial services. Any of these in the asset management industry would be useful.
• Proven understanding of investment fund structures, experience with Luxembourg domiciled funds is beneficial.
• People management experience gained through team management in a multinational environment.
• Strong communication skills, confident, friendly and respectful individual with excellent interpersonal skills, comfortable collaborating closely with clients and colleagues at all levels.
• Excellent attention to detail and analytical skills with an interest in problem solving and willingness to go above and beyond for clients.
• Strong planning and organisational skills with the ability to balance and control their own priorities to meet targets. A good teammate, able to integrate and establish trust quickly, ready to provide and accept feedback.
• Excellent command (written and verbal) of English.
• Professional qualifications an advantage (e.g CAMS, ICA, etc.)
• Additional language skills an advantage (Spanish, German, French, Italian, Dutch, Polish).
• Excellent solid understanding of Microsoft software such as Outlook, Word, Excel, PowerPoint and other IT skills.