Mission: The Senior KYC/AML Officer is part of the Oversight team and reports to the Manager of the Fund Life Cycle & Oversight Team. The Senior KYC/AML Officer’s primary task is to be the main point of contact for the resolution of complex know your customer (KYC)/anti-money laundering (AML) cases and perform oversight on the India Team

Tasks and responsibilities:

• Assess which KYC documentation is necessary to perform the identification of complex entities in accordance with the current regulatory requirements
• Process AML/KYC assessments in relation to Account Opening or Account Maintenance within the applicable deadlines
• Track pending AML /KYC documentation per investor account and per fund promoter
• Review and respond to AML related queries across all clients within agreed timeframes
• Run, review and update AML reports and provide these reports to Clients/Investors
• Maintain AML/KYC procedures up to date as well as contribute to the setup of the AML/KYC Guidelines
• Contribute on and prepare/discuss AML reviews, plus any audit related exercises (e.g. Long Form Report, Internal/External audit, QA etc.) as required by Compliance and by the business
• Support TA on complex account and/or payment related queries
• Liaise with Compliance Officers of clients in case of escalation (MANCOs)
• Explain regulatory requirements to internal and external counterparties
• Hold regular training sessions with teams in terms of the regulatory environment, should there be significant changes to the regulatory environment
• Provide effective support for employees of the Transfer Agent and Compliance
• Hands internal and external requests as quickly as possible
• Provide guidance to the India Team, with an aim to ensure the Team is autonomous on Medium and High Risk cases
• Provide suggestions and participate in the implementation of best-practices and efficient ways of working
• SOPs & Procedures, Contribute to Global Project where required