- AML and FATCA Client Manager role which includes direct client management and support, client reporting, onboarding project oversight and management, Final review and approval of Investor AML files and FATCA/CRS file reviews, client support for Audit, client facing due diligence onsite reviews and client MLRO interaction.
- Building local relationships with Investor services leads, local Compliance and management contacts
- Responsible for the setting and achievement of specific Team performance targets and objectives to any direct reports.
- Oversight of the AML/FATCA team, managing key priorities on a daily basis, planning team work, managing team resources including recruitment of new staff.
- Building and maintaining client relationships through regular meetings, forums, ensuring effective communication and client satisfaction.
- Act as a point of contact for client escalation.
- Develop and implement key improvements on the AML process, procedures and new policy changes into the department.
- Work with internal development on system enhancements to improve AML efficiency and productivity within the team & promote a risk awareness culture within the team to drive the zero error policy.
- Proactively identify gaps in internal key controls and work with wider AAML/FATCA manager/director group to close gaps.
- Demonstrate awareness with regulatory (and internal policy) obligations regarding Suspicious Activity Reporting.
- Responsible for the effective management of the team and all associated HR Policies, performance and career developments.
- Participate in department wide training efforts – draft and deliver training course and facilitate 'on the job' training.
- Ensuring all clients investors are onboarding and approved in timely manner for AML/FATCA checks
- Management of AML/FATCA Mailbox Volumes, Queries, Issues and escalations
- AML/FATCA System maintenance and update of all online AML/FATCA e-checklists and controls
- Input into local Luxembourg AML Policy and Annual Refresh process
- Performance Review support for Associates and input into the development review process of A1's/A2's/SAs.
- Responsibility for general location client oversight and management
- Change in regulatory environments – participate in project groups to understand industry regulatory impact & develop solutions/new products for our clients, work closely with local Compliance teams and IS teams
- Greater awareness of the risk environment and enforcement of key controls and processes
- Accountability - final sign off on all AML/FATCA file reviews and reporting to clients and investors.
- Management of larger teams and additional responsibility for overall client relationships.
- Degree in Finance and/or Business Related area or relevant working experience.
- 4-6 years Fund Administration/ AML and FATCA experience (preferable Financial Services/Transfer Agency) with at least 1-2 years people management experience.
- Proficient in Microsoft Office applications in particular Excel.
- Experience in working to tight deadlines, with an ability to multi task and to work calmly under pressure.
- Experience in Client Relationship Management and client facing experience is essential for this role.
- Good working knowledge of AML and FATCA and regulations impacting the industry.
- Strong ability for accountability and proactive work ethic, problem solver and positive attitude
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AIS Investor Services Anti-Money Laundering, Officer - Luxembourg - State Street
Description
Who we are looking for
The successful candidate will be responsible for the support and management of the Luxembourg AIS Investor AML/FATCA team (A1's, A2's & Senior Associates), along with direct client management responsibilities within the AML and FATCA/CRS group for all contracted client relationships and funds. The purpose of the team is to support as the local AML/FATCA services team to onboard new contracted funds investors and to service our contracted clients. The new Officer will act as a point of escalation for internal teams and external clients for the AML/FATCA contracted Investor Services team and support Clients and AML/FATCA Team members on any AML/FATCA related queries or issues. They will ensure that policies and procedures are followed and that best practices are applied across the group. They will continuously look for enhancements to create greater efficiencies and productivity within the AML/FATCA team. They will face off with clients daily to provide support for all client queries, escalations, reporting requests and projects.
What you will be responsible for
Context of the role - Operating Environment
Education & Preferred Qualifications
About State Street
What we do. State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation, we're making our mark on the financial services industry. For more than two centuries, we've been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients.
Work, Live and Grow. We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary by location, but you may expect generous medical care, insurance and savings plans, among other perks. You'll have access to flexible Work Programs to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential.
Inclusion, Diversity and Social Responsibility. We truly believe our employees' diverse backgrounds, experiences and perspectives are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift programs and access to employee networks that help you stay connected to what matters to you.
State Street is an equal opportunity and affirmative action employer.
Discover more at
