Head - Centralized Onboarding and Investor AML/KYC Operations at TMF Group

Key Responsibilities:

• You will be responsible for building the global Funds Onboarding and Investor AML/KYC team and structuring the operational platform; this includes initiating strategic discussions related to the related functions, the built and implementation of Governance.com and provide support/guidance regarding the larger project planning.
• You will develop comprehensive transition plans for the migration of onboarding and investor AML/KYC services from the local offices to the global team and recommend solutions in order to work towards an efficient production process.
• You will ensure that TMF maintain an instant overview of complete and incomplete KYC records of investors and monitoring the actions taken to complete these KYC records.
• You will be responsible for the oversight of Investor AML processes to ensure company and regulatory objectives are achieved. You will oversee and contribute to management control reports.
• You will manage, coach and motivate a global team of people who will principally be focused on onboarding and investor AML/KYC services for our clients and support work allocation and capacity planning.
• You will supervise the deliverables of the team’s portfolio and be responsible for planning, timing and quality, and assist production where necessary.
• You will take a leadership role as a subject matter expert for the department.
• You will maintain knowledge of current regulatory and compliance environment as it effects our services and/or clients.
• You will develop strong working relationships with clients, MLRO’s, regulators, auditors and other external and internal parties as required.

Key Responsibilities:

Onboarding:

• Responsible for the day-to-day Client, Fund and Investor onboarding and integration of new clients
• Supporting clients and client facing teams from an onboarding perspective
• Acting as the key client contact throughout the onboarding process to ensure seamless transition to BAU
• Project management and coordination of internal functions to onboard new clients (launches and conversions) including Service Delivery, Sales, Legal, Compliance, and Technology teams
• Participating in regional new business meetings and provision of updates to senior management and client services teams
• Working closely with the clients and the business to understand complex structures, being able to translate CDD requirements based on structure charts provided
• Acting as a point of reference to answer and resolve issues/queries related to the onboarding processes and AML/KYC requirements
• Keeping abreast of Regulatory changes and industry standards in all areas that affect the operations functions to ensure that standards and procedures are complied with fully at all time
• Setting up appropriate workflows within core systems
• Assisting in appropriate projects and initiatives relating to operations teams
• Understanding what is appropriate and acceptable in relation to AML/SOF/SOW/CDD and other compliance obligations, and escalating issues and risks accordingly
• Assisting in providing MI to the business

Investor AML/KYC activities:

• Review KYC records as to completeness including verifying that due diligence has been complied with in accordance with TMF standards
• Maintain an instant overview of complete and incomplete KYC records of investors and take actions taken to complete these KYC records
• Handle the KYC-documents in Governance.com in accordance with the procedures developed
• Day to day maintenance of client and investor static data, ensuring all data is captured, recorded and accurate in all core platforms used by the business
• Monitor investors and their activities, for those investors designated as requiring monitoring
• Performing trigger checking reviews and regular periodic reviews based on a rick-based approach, ensuring all CDD is sufficient and compliant with regulatory standards
• Working closely with Compliance, ensuring appropriate levels of approvals are obtained for high risk and PEP’s
• Maintaining PEP and Client/Investor registers, reporting MI to various boards as required
• Maintaining outstanding documentation logs and chasing clients by working closely with client facing teams
• Receive and handle the internal reports of unusual/suspicious transactions as per the procedures developed
• Secure that all investor relationships are risk rated and reviewed as per established procedure
• Timely follow-up on pending items
• Meet or exceed internal and external AML/KYC quality standards for exceptional customer service