AML Specialist - Transfer Agent

DORecruitment Advisors

Online säit: 14/09/19






AML: Liaise with investors/clients to meet compliance and operational requirements including AML and KYC (Know your Client). 


  • Participate to onboarding of new Investor Entity and Register records from New Applications, across multiple client data bases
  • For Existing Clients/ Investors: Processing incoming Entity and Register amendments to existing investor records pertaining to:
    • Signature List, Name Change, Address change and AML maintenance
  • Respond to all clients and / or associated internal departmental queries in a timely, accurate and professional manner in accordance with departmental procedures
  • Take delivery of the applications and supporting documents through a workflow system
  • Assess the content of the documents for completion and compliance to:
    • Standard Registration requirements
  • Pre-determined Anti-Money Laundering / Know your Client requirements
  • Input the content of the documents onto the line of business
  • Transmit the relevant communications to Clients/Investors related to the above
  • AML analysis of incoming cases (account opening, remediation, not compliant accounts)
  • Day to day client reporting in relation to outstanding AML requirements
  • Escalation point for unresolved issues to the Bangalore TA team
  • Workflow queue management and analysis
  • Participate to daily management of the daily screening Investigation
  • Participate to daily management of the blocked cash of non-compliant accounts
  • Participate actively on maintaining the common inbox
  • Achievement of monthly KPIs
  • Procedure maintenance following the change control process
  • Compliance with regulations and attainment of client specific processing requirements
  • Maintains a close working relationship with other areas within the Transfer Agency business unit and other Divisions/Departments within the company
  • To work with the team, internal departments and group projects area on any allocated projects
  • Ensure that appropriate segregation of duties controls are in place at all times





  • Proven experience in Transfer Agency/AML roles in Luxembourg
  • Extensive knowledge of collective investment scheme administration and current regulatory environment
  • An understanding of investment product administration
  • Effective communication skills, both verbal and written in English
  • Accuracy and attention to detail
  • Planning / Organisational skills
  • Work under pressure and unsupervised
  • Interpersonal / Team player
  • Self-motivated / Own initiative
  • Ability to stay focussed / tenacious





Our client is an international bank.



Virgeschloene Kontrakt:
Typ vum Kontrakt: CDI
Plaz vun der Schaff: Luxembourg
Verlaangte Profil:
Erfarung: 2 Joer
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