Compliance Executive, Investor Services

3 weeks ago

Kuala Lumpur, Malaysia TMF Group Full time

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About TMF Group

TMF Group is a leading global provider of high-value business services to clients operating and investing globally. We focus on providing specialized and business-critical financial and administrative services that enable our clients to operate their corporate structures, finance vehicles and investment funds in different geographical locations. Our core services can help companies of all sizes with HR and payroll, accounting and tax, corporate secretarial, international corporate structuring, fund administration and structured finance – whether a company wants to globalize, or whether they need support to streamline existing operations.

With operations in more than 80 countries, TMF Group is the global expert that understands local needs. Global reach, local knowledge: helping to do business seamlessly across borders.

Job Purpose:

The Investor Services Executive will be primarily responsible for performing investor due diligence by reviewing all the KYC documentation as provided by the investors as part of their onboarding for our Fund Manager clients. The work also includes the periodic review process to ensure our clients are in compliant to the applicable AML laws & regulation at all times.

Key Responsibilities:

  • Assisting the Investor Services Manager to actively managing all investor KYC/AML workstreams and act as the primary contact for investor onboarding and KYC/AML matters.
  • Be an expert to the internal compliance system.
  • Assisting the Investor Services Manager to maintain appropriate investor AML/CFT policies and procedures, taking into account of all applicable regulatory requirements and updates.
  • Understanding the investor onboarding/KYC/AML process and actively look for ways to improve and to adopt best practices.
  • Ensure initial investor KYC work is conducted in an efficient manner.
  • Proactively set out timeline with clients so that expectations can be managed.
  • Delays and slippages are promptly highlighted so that they can be addressed.
  • Schedule ongoing investor KYC monitoring work in advance and agree timeline with clients and investors.
  • Work with the fund accounting team on FATCA / CRS classification, reportable accounts assessment and annual reporting
  • Building a strong relationship with key clients through open dialogue.
  • Ability to manage a large a portfolio of clients and investors.
  • Maintaining pro-active communication with all team members and stakeholders on client deadlines and ad hoc requests to allow them to accommodate periods of absence and/or peak demand.
  • Detailed understanding of the scope of services provided by TMF.
  • Proactively managing ad hoc requests from clients and discuss with manager/senior colleagues if necessary.
  • Work with the fund accounting team to ensure timely issuance of fee notes (including any agreed ad hoc work outside the scope of services) and collection of fees.
  • Attending to queries from clients, investors, internal/external auditors, third-party compliance officers and regulators on controls and provide evidence upon request.
  • Assisting the Investor Services Manager to liaise with Group functions, specifically in the latest AML/CFT regulations and sanctions checking, risk assessments, governance frameworks.
  • Establish and maintain constructive relationships with the respective regulators, auditors and other relevant institutions.

Job Specific Requirements:

  • Bachelor’s Degree in Business-related area or in a relevant discipline.
  • Compliance qualification would be an additional asset.
  • Knowledge of AML/CFT regulations in Singapore, especially on MAS Notice SFA 04-N02 to Capital Markets Intermediaries & Guidelines to the Notice; and Cayman Islands’ Anti-Money Laundering Regulations.
  • Experience in operating and running checks on name screening and risk database.
  • Knowledge of FATCA / CRS laws, classification and reporting work. (for Singapore and preferably Cayman Islands)
  • Minimum 1 to 3 years of relevant experience gained either in an in-house compliance team for a Capital Market Services licensee or providing investor AML/KYC services for fund services / fund administration provider organization within the fund industry is preferred.
  • Ability to work on own initiatives and attention to detail is essential.
  • Compliance minded with good commercial awareness and act with integrity.
  • Ability to learn quickly and work within a team under the guidance of manager/senior colleague.

What's in it for you?

  • Our offices are easily accessible by public transportation (LRT & Monorail)
  • Flexible working arrangements
  • Work with colleagues and clients around the world on interesting and challenging work.
  • We provide internal career opportunities so you can take your career further within TMF.

Applications close: 18 Apr Singapore Standard Time

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