Investor AML, Senior Associate

Overview

The role holder will have a lead role in the management of the Investor Anti-Money Laundering and FATCA/CRS Team in Toronto. The team is part of the Investor Services Department. They will provide oversight and support as client manager for multiple local client relationships, with a focus on regulatory and risk control and change management. They will provide technical and operational leadership to ensure policies and procedures are followed and service is provided to clients.

Responsibilities

• Client Facing support during onsite due diligence visits, sales pitches and regulatory inspections
• Client Servicing – board reports/client visits and presentations
• Oversight of new/ongoing investor populations to ensure all reviews are completed in a timely fashion by case managers assigned
• Routine Client Reporting – AML Logs, Board Reporting of unauthorized/aged tracking of investors
• Client Queries and Escalations ...