AML/KYC & Transfer Agency oversight,
Specialist

Who we’re looking for

We in the Client Group Department are looking for a self-starter, who can work independently, has strong analytical skills, is flexible and has strong knowledge in AML/KYC and Transfer Agency processes. We are responsible to perform the initial and ongoing due diligence on Schroders’ clients and business partners.
We are looking for someone who has passion, enthusiasm, desire, and ability to move things forward. The successful candidate will be part of a dynamic team and will share with us daily challenges and successes.

About Schroders

We’re a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future.
We have around 6,000 people on six continents. And we’ve been around for over 200 years, but keep adapting as society and technology changes. What doesn’t change is our commitment to helping our clients, and society, prosper.

The team
We, as a team, are all curious and interested in delivering high quality reports that the management can use to make decisions. Ideally, our future colleague should have a good understanding of distribution in the public and alternative assets space. The candidate should also be fluent in English and any other spoken European language would be an added value.

What you’ll do
Manage effectively the day to day responsibilities pertinent to the Initial and Ongoing Due Diligence activities with an emphasis on quality and the awareness of money laundering risk linked to the operational models, distribution and marketing behaviour for the promotion of SIM EU funds and services.
New and innovative ideas on how to better service clients and improve processes will be welcome in this role.
You will have at least the following duties and responsibilities:

• Maintain 1st line of defence compliance with Anti-Money Laundering / Counter-Terrorist Financing (AML/CTF) policy and Schroders distribution’ principles.

• Perform accurate due diligence reviews.

• Identify and evaluate AML/CTF risks as per internal risk based approach/appetite.

• Ensure that physical and digital records are properly maintained.

• Review of the AML/CTF policies and other relevant investors’ documents on a case by case basis.

• Closely work with the Client Service Team (CSMs) on gathering the AML/CTF and business required information.

• Assist the CSMs and the Sales Offices in their communication with the investors with regards to Schroders Europe KYC requirements and Schroders obligations under applicable Luxembourg law.

• Take ownership of complex AML matters and provide guidance and support the team and stakeholders including the CSMs.

• Ensure all activities are in line with Schroder’s Group Due Diligence Mandatory Procedures.

• Support the AML/KYC manager in performing his duties.

The knowledge, experience and qualifications that you will need

• A proven career in AML/KYC (minimum of 2 years) with in-depth knowledge of AML/KYC regulatory requirements and market practice, particularly in Luxembourg.

• A good understanding of the TA processes and familiarity with the registration activities as well 4 eyes checks on due diligence activities.

• An expertise on the Commission de Surveillance du Secteur Financier regulations with regards to AML/CTF due diligence.

• A strong knowledge of Microsoft Office, in particular Excel and Word.

• A University degree or equivalent professional qualification.

What you’ll be like

• You are a decision maker with a solution-oriented mind-set, capable of taking initiatives.

• You can multi-task, work under pressure with respect to the deadlines.

• Fluency in English (verbal and written), another European language would be an asset.

• You are able to work in a dynamic and changing environment.

• You are enthusiastic with a positive can-do attitude.

• You gain commitment through excellent influencing skills.

• You never compromise on quality of the ML and tax reviews and adhere strictly to the policy

• You pay good attention to detail while appreciating the bigger picture

• You are focused and follow topics till their full resolution

• You are a team player

We’re looking for the best, whoever they are
Schroders is an equal opportunities employer. You're welcome here whatever your socio-economic background, race, sex, gender identity, sexual orientation, religious belief, age or disability.