Investor Services - Senior Administrator

Verified

$5/hr

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Outline

Looking for Full-Time work (8 hours/day) at $5/hour

Bachelor's Degree

English proficiency Fluent

Professional Summary

10+ Years of experience in Investor Relations, Account Administration, AML / KYC and Compliance

Skills & Experience

Skills

Compliance 10+ Years

KYC (Know Your Customer) Back Office 10+ Years

Anti Money Laundering 10+ Years

Experience highlights

Investor Services - Senior Administrator

HedgeServ · May/2024 – /

• Review investor transaction instructions (initial/additional subscription and redemption requests) to ensure all requisite information is provided.
• Preparing wire transfers to Prime Brokers, Investors and vendors for payment of fees
• Reconciles the subscription/redemption bank account daily, and notify all discrepancies to supervisor
• Preparing Investor Reporting, client reporting and investor audit requests
• Ensure appropriate AML/KYC documentation is provided by investors

Investor Relations Services - Senior Associate

HC Global Fund Services · May/2018 – Present

• Reviewing Anti-Money Laundering documentation for investors to ensure compliance to Cayman Island Monetary Authority & British Virgin Islands and to HC Global Fund Services policies and procedures
• Processing and confirming subscriptions, redemptions, transfers and maintaining all electronic and physical partner records and shareholders registers
• Communicating and liaising with Fund Administration Team, Onboarding Team, Treasury and Legal and Compliance team on a regular basis

Financial Investigator

Manulife Philippines · June/2017 – Present

• Working with Legal & Compliance on regulatory changes related to AML/ATF/FATCA/PEP guidelines; to establish appropriate protocols to ensure effective monitoring, reporting and escalation of Legal & Compliance (L&C) issues within the business unit
• Managing the risk-exposure of the business unit by ensuring compliance with all relevant statutory and regulatory requirements
• Updating and maintenance of Operations Guidelines for AML/ATF/FATCA/PEP

Compliance Analyst

DSM Manila LLC (Affiliate of White & Case LLP) · June/2015 – Present

• Enforce procedures and adhere to processes governing Anti-Money Laundering (“AML”), Know Your Client (“KYC”), Restricted Securities, Insider List, Securities Trading and all related ethical screens
• Facilitate all Insider List, Restricted Security, Confidentiality and Ethical Screen implementation, including troubleshooting, pre-approval, follow-up, documentation and related on-going maintenance

Anti-Money Laundering (AML) Analyst

ANZ Global Services and Operations · June/2014 – Present

• Investigate Watch List Management (WLM) alerts to de-identify potential Politically Exposed Persons (PEP); Review potential Money Laundering/Terrorism Financing (ML/TF) alerts generated from Transaction Monitoring Systems (TMS)
• Provides a high level of customer service by completing work in an accurate and timely manner and ensure Service Level Agreements are consistently met
• Liaise with Relationship Managers and Money Laundering Regional Officers as necessary as part of the KYC process

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