Transfer Agents Monitoring - Due Diligence Analyst (15244476/001) London, England
Responsibilities include but are not limited to:
• Record and maintain decisions on all new TA risk categorisations, approval or rejection
• Communicate with each interested internal business unit providing recommendation on TA risk categorisation, provide recommendation for approval or rejection for the approval of the depositary
• Ensure any anomalies or policy exceptions are escalated to manage them and to execute any necessary decisions in a timely manner.
• Maintain central list of TA due diligence completed and publish TA categorisation, approval or rejection of TA to operations teams in multiple locations who reference the data for their processing purposes
• Co-ordinate and prepare management reporting information on the risk ratings, value of funds in each category of TAs and details of other service providers, as required
• Retain documentation in a professional manner as evidence for burden of proof to mitigate the depositary’s liability and internal / external audit requirements.
• Develop strong working knowledge of TA risk management framework and enhance it as required.
The successful candidate is likely to have:
• Fund administration experience
• Transfer Agency experience
• Understanding of AIFMD & UCITS requirements is helpful
• Extensive experience in Finance or Banking sectors (Auditors, Compliance, asset management firms)
• Deep knowledge and proven experience in a major Audit firm very helpful
• Excellent relationship management and networking skills within the work stream team and with stakeholders
• Robust analytical and problem solving skills
• Structured approach to business analysis and documentation
If you are interested in the role and feel you are suitable please submit your CV.
• Record and maintain decisions on all new TA risk categorisations, approval or rejection
• Communicate with each interested internal business unit providing recommendation on TA risk categorisation, provide recommendation for approval or rejection for the approval of the depositary
• Ensure any anomalies or policy exceptions are escalated to manage them and to execute any necessary decisions in a timely manner.
• Maintain central list of TA due diligence completed and publish TA categorisation, approval or rejection of TA to operations teams in multiple locations who reference the data for their processing purposes
• Co-ordinate and prepare management reporting information on the risk ratings, value of funds in each category of TAs and details of other service providers, as required
• Retain documentation in a professional manner as evidence for burden of proof to mitigate the depositary’s liability and internal / external audit requirements.
• Develop strong working knowledge of TA risk management framework and enhance it as required.
The successful candidate is likely to have:
• Fund administration experience
• Transfer Agency experience
• Understanding of AIFMD & UCITS requirements is helpful
• Extensive experience in Finance or Banking sectors (Auditors, Compliance, asset management firms)
• Deep knowledge and proven experience in a major Audit firm very helpful
• Excellent relationship management and networking skills within the work stream team and with stakeholders
• Robust analytical and problem solving skills
• Structured approach to business analysis and documentation
If you are interested in the role and feel you are suitable please submit your CV.