Administrator, Process Control & AML

Overview

• To assist & monitoring in the processes and controls for all areas within Operations Services.
• To minimising Risks, auditing of high risk transactions and process review
• To identify, analysis of error trends, and incident reports as well errors tracking within Operation Services

Key Accountabilities and main responsibilities

• Targeted auditing of investor transactions, including off-market transfers (OMTs), dividend reinvestment plan (DRP), Electronic Direct Credit (EDC), Deceased Estate transactions
• Quality assurance checking for Corporate Action projects, Issuer Services transactions, Insolvency Services, Equity Plan Solutions and Fixed Interest Transactions
• Large holder checks by confirming instructions with Institutions as at record date
• Error tracking to assist with the improvement of current processes and risk mitigation
• Completion of monthly testing for Controlled Self Assessments (CSAs)
• Supporting AML/FATCA processing team, processing and auditing FATCA forms from different stakeholders
• Perform an enhanced due diligence verification for Anti-Money Laundering Link Funds Solutions applications forms, knowledge in Australian’s regulation rule
• Performing screening for PEP & Sanctions (Political Exposed Person)
• Auditing Employee Plan shares (EPS) Operation transactions, static changes, terminations, vesting transactions, transfers, etc
• Building rapport and working closely with other departments within Operational Services internally or different department such as Capital Markets, CRG and EPS and Risk/ Compliance

Strategic Focus

• Ensure high level of Quality Assurance across all transactions streams
• Ensure all work is checked within specified time frames.
• Daily interaction with Operations team managers regarding mitigation of errors.
• Satisfy all service standards (regulated or client SLA).
• To assist all other members of the team, and as a team assists other areas as required to do so.
• Commitment to the role of improving processes within Operational Services.
• Develop expertise and awareness in all team members regarding:

-Auditing transactional processes and procedures
-Different type of investor’s transactions
-delivery within client service level agreements (SLA’s)
-the reconciliation of appropriate between processing and auditing records

Operational Management

• Reconcile all audit transactions in an accurate and timely manner and in accordance with agreed service standards
• Manage and coordinate transactions requirements within Operation Services. The range of transactions may include:

1. Auditing High Risk transactions
2. Auditing Corporate Actions project such as Share Purchase Plan, Buybacks, etc
3. Auditing and reconciliation of EPS transactions
4. user acceptance testing

• Continuous and proactive focus on recommendations that will yield improved operational efficiency, system enhancements, revenue opportunities or risk reduction
• Participate positively as a team member and contribute to the ongoing success of the Operational Services
• Support Team Leader/Manager with staff support and management.

People Leadership

• Assisting Team leader/ Manager in maintaining day to day activities including Auditing Operational Services transactions, AML applications Verification, EPS, FATCA transactions, and management of critical and urgent auditing requests and enquiries
• Assisting Team Leader/Manager in achievement of Enlighten business objectives and staff/team performance.
• Work as a second in charge (2IC) in absence of Team Leader

Governance & Risk

• Adherence to compliance and incident management policies

The above list of key accountabilities is not an exhaustive list and may change from time-to-time based on business needs.

Experience & Personal Attributes

• A strong client service focus
• Thorough understanding and knowledge of all Operational Services functions, products, processes and procedures and in-house registry systems
• Work well under pressure
• Strong analytical and reconciliation skills
• Ability to teach and train team members regarding all transactions within Operation Services systems
• Highly organised, applying a systematic approach to work and status reporting
• Proactive, patient, persistent, enthusiastic, and committed
• Demonstrated ability to effectively prioritise work
• Demonstrate high level of initiative and motivation
• Flexible, able to meet demanding deadlines and work additional hours when required
• Problem solving skills
• A team player
• Advanced knowledge of MS Excel
• Quality Assurance focused