MANAGER OPERATIONS

Role overview

Operations and leadership

• Approximately 50–90% of time is spent on processing and technical aspects.
• Lead business UAT as required and projects for onshore and GSC teams.
• Manage 10–12 direct reports and oversee 20–24 indirect reports when required, or manage the process as an individual contributor.
• Reconcile cash and unit accounts and investigate breaks.
• Meet productivity and quality targets supporting transfer agency functions across multiple jurisdictions.
• Coordinate with country offices, NFRO, Product, IT, GPD, AML/FCC Compliance, and MLRO stakeholders.

AML/KYC duties

• Perform investor onboarding and CDD by collecting and verifying identity documents for new mutual fund investors.
• Verify corporate legal status and identify ultimate beneficial owners; assess investor risks using geography, industry, and transaction patterns.
• Conduct EDD for high-risk investors, including PEPs and investors from high-risk jurisdictions.
• Investigate and validate source of funds and source of wealth to ensure investment capital is legitimate.

Qualifications and experience

• Postgraduate diploma or degree in Commerce or equivalent financial background.
• Minimum 5–7 years of experience in securities processing on AML/KYC processes.
• At least 24 months of securities experience and Transfer Agency Operations AML/KYC experience is mandatory.
• Relevant securities background and industry knowledge; relevant AML/KYC and risk certifications are cited.
• Current role held for 12 months; CISI certification is listed.
• Prior Transfer Agency experience in Registration, Dealing, Payments, and Reconciliation is desirable.
• Understanding of financial markets and mutual/hedge fund operations is desirable.

Capabilities

• Fluent spoken and understood English, business writing, and conversational/telephone skills.
• Strong leadership, organization, planning, analytical, statistical, and data-mining skills.
• Manage capacity and MI reporting; initiate process improvements and recognize development areas.
• Understand and minimize operational risks, audit controls, and compliance requirements.
• Initiate cost control measures through resource efficiency and overhead management.