Investor Services AML Analyst I - Alternative Investments
About The Position
Under direct supervision, assist with routine operations related to investor services functions, specifically related to anti-money laundering (AML) processes, for multiple alternative investment clients and funds. Ensure that prospective investors meet AML guidelines and have completed documentation according to the fund requirements when processing investor-related transactions, including subscriptions, transfers and re-registrations. Complete archival of investor and client documentation ensuring a full audit trail exists for subsequent retrieval. Identify and resolve problems within established guidelines. Correspond with the fund and investors regarding onboarding documentation. Act as a resource for client and investor inquiries regarding their documentation. Understand the policies and procedures of the AI department, understand the various product types being supported, and understand the AML requirements as applicable to both domestic and offshore funds. Participate in projects/project teams. Other duties as assigned.
Requirements
- Strong organizational skills
- Basic Microsoft Office skills
- Demonstrate strong attention to detail
- Ability to work under extreme deadlines
- Exhibit good analytical and problem-solving skills
- Demonstrate strong written and verbal communication skills
- Demonstrate initiative both independently and within a team
- Exhibit good communication skills and the ability to see a task through to completion
- Demonstrate good work habits and attendance and follow policies and procedures
- Associate degree or two years of post-high school education. High school diploma or equivalent and directly related work experience may be considered in lieu of an associate degree or two years of post-high school education.
Nice To Haves
- Knowledge of BSA and the US Patriot Act
- Knowledge of IRS Form W-9, W-8 and CRS certifications
- Clerical experience in a financial services environment
Responsibilities
- Assist with routine operations related to investor services functions, specifically related to anti-money laundering (AML) processes, for multiple alternative investment clients and funds.
- Ensure that prospective investors meet AML guidelines and have completed documentation according to the fund requirements when processing investor-related transactions, including subscriptions, transfers and re-registrations.
- Complete archival of investor and client documentation ensuring a full audit trail exists for subsequent retrieval.
- Identify and resolve problems within established guidelines.
- Correspond with the fund and investors regarding onboarding documentation.
- Act as a resource for client and investor inquiries regarding their documentation.
- Understand the policies and procedures of the AI department.
- Understand the various product types being supported.
- Understand the AML requirements as applicable to both domestic and offshore funds.
- Participate in projects/project teams.
- Other duties as assigned.
Benefits
- Paid Time Off
- a 401(k) matching program
- annual incentive pay
- paid holidays
- a comprehensive company sponsored benefit plan including medical, dental, vision, and other insurance coverage
- health savings, flexible spending, and dependent care accounts
- adoption assistance
- an employee assistance program
- fitness reimbursement
- tuition reimbursement
- an associate wellbeing program
- an associate emergency fund
- various associate banking benefits
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
Associate degree
