The Transfer Agency Senior Registration Administrator interfaces with the investors, ensures a timely processing of client documentation and account opening in accordance with standards set by the Apex. This person maintains the shareholder registers and ensure that client documentation and client transactions are KYC/AML checked and may participate in TA related projects.
Role & Responsibilities:
- Adhere to the relevant AML/KYC standards applied by Apex on behalf of their customers while all regulatory, compliance, risk management and due diligence controls of Apex are respected (e.g. 4 eyes principle).
- Be the contact person for Clients and Investors for operational issues and support during the account opening process.
- Take ownership of rather complex cases and/or analyses, consulting with your line management, senior management and compliance where necessary.
- Use appropriate tact and diplomacy when exchanging complex or sensitive information with internal or external stakeholders.
- Reception of investor AML/KYC documentation.
- Ensure that investor AML/KYC documentation is verified in a timely manner.
- Diligently verify account openings and/or account maintenance changes in line with the applicable procedures and in a timely manner.
- Follow up with investor on missing or original documentation.
- Screening and verification of investor names against sanction/black lists.
- Perform the investor account opening in the TA systems as appropriate.
- Ensure that investor accounts are blocked as and when required.
- Perform the investor static data change within the TA systems as required.
- Ensure accurate and complete data input into the relevant systems, including FATCA and CRS data; maintain data integrity and standards as per the levels applied by Apex.
- Ensure investor documentation is up to date as required.
- Scanning, filing and archiving of investor data.
- Resolve complex client issues.
- Internal/external reporting on blocked accounts.
- Transactions trend monitoring and reporting.
- Assist internal/external audit as required.
- Perform function in line with the department procedures and Apex policies.
- Act in respect of the regulatory framework, the internal procedures, guidelines and code of conduct.
- Good working knowledge of Microsoft Office (Word, Excel, Access)
- Excellent communication skills and a truly client servicing mindset;
- Good interpersonal skills, and sense of teamwork.
- Committed to self-improvement.
- Expertise in the Transfer Agency business and fund industry.
- Excellent analytical skills.
- Ability to work autonomously and remain calm under high pressure.
- Ability to deliver within agreed deadlines.
- Perfect command of English, any other language is an advantage.
Please send any applications, with your CV attached, directly to: MDonckel@apexfunds.lu;