Asset & Wealth Management Operations - Associate

ASSET MANAGEMENT

Bringing together traditional and alternative investments, we provide clients around the world with a dedicated partnership and focus on long-term performance. As the firm s primary investment area, we provide investment and advisory services for some of the world s leading pension plans, sovereign wealth funds, insurance companies, endowments, foundations, financial advisors and individuals, for which we oversee more than $2 trillion in assets under supervision. Working in a culture that values integrity and transparency, you will be part of a diverse team that is passionate about our craft, our clients, and building sustainable success. We are:

• Investors , spanning traditional and alternative markets offering products and services
• Advisors , understanding our clients priorities and poised to help provide investment advice and strategies that make sense for their portfolios
• Thought Leaders , providing timely insights across macro and secular themes to help inform our clients investment decisions
• Innovators , using our suite of digital solutions to help our clients address complex challenges and meet their financial goals

OPERATIONS

Operations is a dynamic, multi-faceted division that partners with all parts of the firm to provide banking, securities, and asset management services to clients around the world. In addition, Operations provides essential risk management and controls to preserve and enhance the firms assets and its reputation. For every new product launched and every trade executed, it is Operations that develops and manages the processes and controls that enable business flow.

YOUR IMPACT

Our Asset Management Alternatives Private KYC Group is seeking a professional who will work with our clients and partner with key stakeholders (Business, Financial Crime & Compliance, Legal, Operations, Quality Assurance). We support every deal team in the Alternatives Private division and work with the most senior members of the organization to facilitate an excellent client onboarding experience while mitigating risks associated with fulfilling the requirements associated with local regulations. We are the experts in Know Your Client (KYC) requirements and help manage communications with our clients/partners on obtaining the necessary documentation while treating the transactions with the upmost sensitivity.

OUR IMPACT

Operations is a dynamic, multi-faceted division that partners with all areas of the firm to deliver banking, sales and trading and asset management capabilities to clients around the world. Alongside this vital service delivery role, Operations provides essential risk management and control, preserving and enhancing the firm s assets and its reputation. Operations span all product lines and markets, serving as internal business partners who develop the processes and controls, and help to specify the systems that deliver accuracy, timeliness and integrity to our business.

The AM Alts Pvt Operations support the AM Alts Pvt Division, which is the firm s long term principal investing group tasked with raising capital and investing in equity (corporate / growth), real estate, and credit.

The AM Alts Pvt KYC Group sits within AM Alts Pvt Operations and manages the control framework and oversight of a broad spectrum of firm policies that impact the client on-boarding process. The team closely works with Policy & Quality Analytics, Legal, Financial Crime & Compliance teams for successful implementation of policy and control oversight to meet regulatory obligations. The team provides opportunity for an experienced, dynamic, and risk-aware individual to take part in shaping and ensuring compliance with the control framework related to a broad spectrum of firm policies, including but not limited to Know-Your-Client, Client Implementation and Enhanced Due Diligence. We also endeavor to provide an excellent client/partner experience while helping to educate our stakeholders on the nuances of requirements per region.

JOB SUMMARY & RESPONSIBILITIES

• Undertake customer due diligence checks to ensure adherence to the Firm s Anti Money Laundering policies, procedures and regulatory framework (such as AML/KYC regulations, Dodd Frank, EMIR, MiFID, FATCA, etc).
• Conduct PEP, sanction and adverse media screening and escalate any areas of concern to Legal and Compliance
• Timely escalation of any questions or concerns around obtaining requirements in order to fulfill our regulatory obligations
• Work closely with key stakeholders (Business, Financial Crime & Compliance, Legal, Operations, Middle Office) in a fast paced environment to ensure a seamless front to back onboarding and assist with the establishment of new client relationships to facilitate deal investments
• Lead strategic initiatives in order to improve the process efficiency and customer experience

BASIC QUALIFICATIONS

• Minimum 4 plus years in a similar role within financial services with extensive AML/KYC experience
• Knowledge of financial markets and products
• Knowledge of Customer Identification Programs (CIP)/Know Your Customer (KYC) and relevant regulations is a must
• Knowledge of corporate structures and the impact they have on the KYC/AML process
• Bachelors degree required
• Proven analytical skills, problem solving ability, and a control mentality paired with meticulous attention to detail
• Aptitude for building relationships and ability to communicate complex issues to a wide array of internal stakeholders at all levels of the organization as well as clients with differing levels of product experience
• Self-motivated and proactive team player, who takes ownership and accountability of projects, has strong organizational skills as well as the ability to effectively manage competing priorities
• Flexible and able to work well under pressure in a team environment
• Experience in providing excellent client service
• Excellent written and verbal communication skills
• Proactive, self-motivated