Aml and Registration Analyst

5 months ago

Toronto, Canada IFDS Group Full time

**Company Overview**

AT IFDS (Canada), we create the technology and service solutions the financial industry is built on. Leading investment and insurance providers trust International Financial Data Services (IFDS) Canada for award-winning record-keeping platform and back office services. For more than 30 years, our knowledge, experience, financial strength and advanced technology have enabled our clients around the globe to achieve their business goals, and our investment in the future will help them continue to lead the way. We are looking for a dynamic, client focused individual who is ambitious about their career growth and passionate about the financial service industry.

**Overall Accountabilities**

An AML and Registration Analyst primarily review documentation for new and pre -existing accounts to ensure that they are compliant with the procedural requirements. This includes evaluating low, medium and high-risk accounts. In addition, the team is responsible for all New Account set up’s, Static Data Changes New Dealer Setup’s.

**General Role and Responsibilities**

Actively and effectively manages the day-to-day customer service delivery model for assigned clients by:

- Perform on-going AML/KYC reviews of the register in line with Luxembourg regulatory requirements
- Liaising with the Client(s), Management and Compliance to ensure all AML/KYC requirements are met during the administration new and pre-existing investors/broker set-ups and maintenances, including assessing investor/broker documentation and the required holistic risk analysis;
- Communicating with and advising clients, investors, colleagues and other IFDS/State Street/Client offices in Luxembourg and Ireland on the AML/KYC requirements;
- Assessing and completing various internal reports and forms (e.g. transaction profile, acceptance, suspicious activity reports, escalation reports, etc.);
- Assisting the management team with escalations and issues;
- Reporting internally possible suspicious and/or unusual transactions in line with applicable reporting policies and procedures to the AML Manager and/or Money Laundering Reporting Officer;
- Assisting with upholding internal AML/KYC policies and procedures
- Obtain requirements from clients to ensure adherence to established policies and procedures; liaison with clients for missing documentation
- Strongly adhere to existing procedures and controls in place and pro-actively react when foreseeing issues; ensure that checklist, job aids and system changes are updated and followed
- Perform on-going AML/KYC reviews of the register in line with Luxembourg regulatory requirements
- Ensure all accounts adhere to internal KYC and AML policy
- Review work practices, monitor service levels and implement change where necessary to improve the quality within the department and ensure necessary controls are in place
- Ensuring strict adherence to internal rules, policies and procedures
- Client contact to include communicating due diligence matters to investors, fund managers and compliance officers

**Minimum Qualifications**

**Critical Requirements**
- Post-secondary education in a related discipline
- Must be willing to work US and Canadian Holidays
- Willingness to work in an environment with flexible schedules (i.e mid to late shift) that is driven by client commitments and high volumes.
- Must be flexible and able to work overtime from time to time.
- Previous experience in a service oriented environment; strong client focus
- Excellent interpersonal and communication skills
- Very strong ability to organize and prioritize work.
- Team Player, able to work in a team environment with shared goals and accountabilities
- Highly degree of attention to detail to ensure 100% accuracy on all transactions
- Strong research / information gathering / analytical and problem-solving skills - takes a logical approach to analyzing problems.
- Understands the business impact of escalated incidents and service requests
- Positive impact - performs in a manner that makes a strong positive impression on others
- Sound understanding of AML/Fraud prevention measures
- Effective prioritization and time management to adhere SLA’s
- Good understanding of operations and registration processes and procedures
- Quick and effective decision making skills which align with AML & operational controls and practices
- Willingness to cross train on multiple clients with a learning mindset

**Important**
- ** **Knowledge of iFAST Base system, iFAST Base & Surround Products
- Solid knowledge of International Financial Mutual Fund Record Keeping Systems and Transfer Agency operations business process
- Proactive in acquiring information to develop new skills to improve job performance. Grasps new material quickly and easily, and applies new information, concepts and procedures in a constructive manner
- Minimum 2 years’ experience

**Beneficial**
- Portuguese, Spanish, German, French, Italian, Mandarin both written an

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