Associate Director, Transfer Agency, Fund Services

Key Areas of Responsibilities

Lead and oversee the processing of investors’ capital activities, including subscription, redemption, switching, transfer, etc., ensuring accuracy, completeness, and timely execution; review and approve all relevant supporting documents, including KYC / AML checks and sanction list screening performed by the team.
Manage and mentor the transfer agency team, setting clear deliverables, monitoring performance, and ensuring compliance with service and quality standards.
Oversee client servicing activities, ensuring effective and timely responses to client and/or investor queries, and fostering strong relationship management.
Identify, assess, and oversee implementation of all relevant new legal and regulatory developments within the AML framework, ensuring the business is aligned and compliant.
Act as the bridge between business team and compliance team on AML cases escalation and manage AML/CFT risks.
Discuss and document unusual transactions with relevant stakeholders.
Identify, assess, and implement all relevant new legal and regulatory developments within the AML framework.
Design, deliver, and maintain an appropriate compliance and AML training programme, and promote awareness for the business team.
Ensure day-to-day operations are compliant with the relevant policies, procedures, systems, and controls, taking corrective action and guiding the team as necessary.
Allocate resources effectively, prioritize tasks, and ensure timely completion of team deliverables in accordance with business priorities.
Provide leadership support to other operations teams as assigned, ensuring cross-functional collaboration and efficiency.

Requirements

Bachelor’s degree or equivalent in Business Administration, Law or a related discipline. 6 - 9 years of working experience, preferably gained in the compliance industry. Fund Services experience would be a plus. Compliance-related accreditations or qualifications are preferable (e.g., CAMS, ICA, CFE, etc.) Previous experience using World-Check is a must. Thorough understanding of the local and international AML regulatory environment. Proactive, mature, with a high level of attention to detail, able to work independently under pressure and strong sense of meeting tight, committed deadlines. Good interpersonal skills. Good verbal and written communication skills in Mandarin and English. Proficient in Word, Excel, PowerPoint and other presentation applications, including the ability to produce neatly presented work. Candidate with less experience will be considered as Associate level.

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