Posted on: 18 October 2023
ID 889034

Assistant Manager Transfer Agency (Investor Services)

Description

Assistant Manager Transfer Agency

Role Location: South Africa (Cape Town)

Department: Transfer Agency Onboarding Team

Employment Type: Full Time Permanent

The Role & Key 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
  • Be the contact person for Clients and Investors for operational issues and support during the investor account opening and ongoing review process;
  • Take ownership of rather complex cases and/or analyses, consulting with senior management and compliance where necessary;
  • Diligently verify investor on-boarding/Ongoing monitoring/trigger events in line with the applicable procedures and in a timely manner;
  • Oversight and reviewing of ongoing daily screening
  • Reviewing and monitoring daily any hits raised on worldcheck and escalated as necessary to senior members;
  • Internal / external KPI reporting, including collating Investor related data for the MLRO Reports;
  • Assist internal / external audit as required;
  • Liaise with management on any AML/KYC issues and manage appropriately;
  • Manage the day to day of the Investor On-boarding team and act as an escalation point for more junior staff
  • Oversight for and checking of all aspects of operations and controls, including AML System updates, performing Anti-Money Laundering (AML) checks and FATCA / CRS reviews
  • Identifying any gaps in controls and processes and putting process improvement suggestions forward in a professional manner
  • Ensuring adherence to all policies & procedures, relevant laws and regulations
  • Participating in and ownership of ad hoc projects
  • Training of staff
  • Documenting of robust operational procedures and controls
  • Working as part of a larger global team in the case of outsourced activities
Skills Required
  • 5+ years industry experience with at least 2 years experience in a similar role incorporating the above functions;
  • Possession of a related diploma or degree;
  • Have a strong work ethic and attention to detail;
  • An ability to work to and meet agreed deadlines;
  • Excellent interpersonal and written communications skills;
  • Be highly organised, proactive and able to work on your own initiative;
  • Able to prepare and review of SOPs/Process flow charts
  • Able to identify & implement various process controls
  • A team player who is able to manage individual responsibilities
What You Will Get In Return
  • A genuinely unique opportunity to be part of an expanding large global business
  • Exposure to all aspects of the business, cross-jurisdiction and to working with senior management directly
Additional Information

We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation, socio-economic, responsibilities for dependents, physical or mental disability. Any hiring decision are made on the basis of skills, qualifications and experiences. We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.

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