Investor Service Executive

Role & responsibilities

The distribution of Offering Memorandum to potential investors.

• The receipt and review of completed subscription documentation. This includes:

• Completion of initial AML review.
• Initial review of subscription documentation for completeness.
• Email communication to investors seeking additional information where required.
• Email communication to investors in response to routine queries.

• The receipt and review of other investor transactions (Redemptions, transfers, etc)

• The setup on investor accounts on the firms systems.

• The entry of investor transactions into the firm’s systems.

• The automated distribution of statements and other correspondence to investors.

The role of an Associate is key to the delivery of these services.

Responsibilities of an Associate include:

# Providing day-to-day investor services to both the Fund Manager and the investors in the fund.

# Processing investor activity with a focus on accuracy and attention to detail.

# Keeping line management appraised of operational issues..

# Providing an effective daily hand over of processing between Mumbai and the other processing

centres, currently in Westchester and Dublin.

# Participate in global projects including system enhancements and data conversions.

Principle Accountabilities

Service Delivery

# Monitor the receipt of client and investor information through fax and email.

# Ensure that all investor activity is processed in a timely and accurate manner.

# Open new investor accounts ensuring compliance with the fund documentation, anti-money

laundering requirements, statutory regulations and company policies and procedures.

# Process investor transactions in line with the fund documentation, anti-money laundering

requirements, statutory regulations and company policies and procedures.

# Ensure that all follow up queries to investors are handled in an appropriate manner.

# Handle routine email and fax queries from investors and fund managers in a professional and

prompt manner, escalating where appropriate.

# Provide investors and their nominees with statements, contract notes and other documentation.

# Produce MIS and other internal operational reports that assist in the effective operation of the

team.

# Ensuring that the records of the fund are maintained in a complete and organised manner.

# Keep management in Mumbai, Westchester and Dublin appraised of operational issues.

# All of the above should be carried out in compliance with the Service Level Agreements agreed

with each client.

Compliance

Investor servicing requires compliance with a range of policies. The Associate should have:

# A detailed knowledge of the offering documentation for the funds being serviced.

# A thorough knowledge of the regulations that pertain to the domicile of the fund being serviced.

# A thorough knowledge of our internal policies and procedures. Particular emphasis is required on

all matters relating to Anti-Money laundering controls.

 Preference:

A number of years prior work experience – preferably in financial services and with Investor

servicing. Knowledge of hedge fund processing is a strong advantage.

# Good administrative and organisational skills with a particular focus on accuracy and attention to

detail.

# An ability to work under pressure and an ability to cope with increased work loads at month-end.

# An ability to work as part of a virtual team that is spread across different time zones and

geographies.

# An ability to use key financial systems and other IT tools.

# A third level qualification – preferably in a business or numerical discipline

Preferred candidate profile

Perks and benefits