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Team leader AML / KYC / TA (H / F)

Team leader AML / KYC / TA (H / F)

Harry Hope.Niedersgegen, DE
Vor 30+ Tagen
Stellenbeschreibung

We are seeking an experienced Team Leader to oversee AML / KYC and Transfer Agency (TA) activities for our client, a leading financial services provider. This role involves managing a team, implementing procedures, ensuring compliance with regulations, and contributing to the development of the TA department, including the creation of AIFM licenses.

POSTE

Key Responsibilities :

  • Lead and manage a team of AML / KYC professionals (2 juniors, 3 seniors), ensuring efficient operations and compliance with relevant regulations.
  • Develop and implement AML / KYC procedures, guidelines, and best practices for client onboarding, risk reviews, and monitoring.
  • Take responsibility for the "First Line of Defence" for Relationship Managers, providing support on compliance matters and liaising with Risk & Compliance when needed.
  • Oversee client risk reviews, monitor compliance matters, and manage incidents or breaches as necessary.
  • Ensure accurate KYC / CDD documentation is collected and manage periodic reviews (e.g., AML file review, risk assessments).
  • Work closely with Relationship Managers and Business Heads to strengthen collaboration with Risk & Compliance.
  • Assist with AML / CFT training for employees and ensure the team stays up to date with regulatory changes.
  • Coordinate with global teams and regional BCOs for cross-border business activities.
  • Ensure TA procedures are properly developed and implemented, including the setup of AIFM licenses.
  • Attend meetings with Risk & Compliance Committees and other regulatory boards as required.
  • Suggest and implement improvements to policies, procedures, and workflows in collaboration with Risk & Compliance.

PROFIL

Qualifications :

  • Minimum of 10 years of experience in the financial services industry, with a strong focus on fiduciary, compliance, and AML / KYC processes.
  • Proven experience managing a team in a fast-paced and complex environment.
  • Solid understanding of financial regulations and fiduciary operations, particularly in TA.
  • Strong knowledge of AML / CFT and compliance regulations, including fund-related knowledge and the creation of AIFM licenses.
  • Professional qualifications in legal and compliance matters are preferred.
  • Excellent communication, interpersonal, and leadership skills.
  • Strong problem-solving abilities and the capacity to prioritize in a high-pressure environment.
  • Advanced Microsoft Office skills (Word, Excel).