Compliance and Risk - Transfer Agency

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POST DATE 8/27/2016
END DATE 12/19/2016

The Compliance Search Group Chicago, IL

Chicago, IL
AJE Ref #
Job Classification
Full Time
Job Type
Company Ref #



Our client, an investment management firm, is seeking a Senior Transfer Agency Risk & Compliance Representative to join their team. This position is responsible for overseeing the daily operations of the Transfer Agency and Risk Control functions as it relates to the company. Responsibilities include the development and implementation of long range planning to improve overall service delivery, maintaining quality and productivity standards for the area and lead operating procedures and policies reviews and updates. This position will ensure that all daily, monthly, quarterly risk-related processing and reporting tasks are being performed timely and accurately. Additionally, the incumbent acts as liaison with other company departments, clients and business relationships as needed.


* Lead and/or assist with the annual AML audit preparation
* Lead and/or assist with the annual AML and 22c-2 Executive presentations to the Board
* Lead in the annual review and administration of TA Risk's frontline and high-level policy and procedure changes
* Lead in the quarterly oversight of content and build out of department specific training plans and self-paced modules
* Lead in the monthly and quarterly oversight of 22c-2 Relationship Oversight Program
* Work as a team member and provide oversight to ensure team supports daily, weekly, monthly, quarterly and annual workflows supporting 22c-2, Market Timing, Suspicious Activity, CIP and Principle workflow responsibilities in a timely and efficient manor
* Identify and research suspicious persons and or shareholders and their activities/transactions
* Report and provide documentation to the company and the company Services Group Officers
* Support internal and external legal counsel as needed on suspicious persons/items
* Prepare Suspicious Activity Reports (SARs) as directed by AMLCO
* Review daily, weekly, and monthly reports for the company and the company Services Group executive team reporting
* Review and research large trade notifications, transaction downloads, and other reports for violation and report violations to management
* Follow management instructions and procedures for contacting, placing on watch list, or banning shareholders
* Work with company Legal and Compliance to support annual compliance meeting
* Other duties as assigned


* 4-6 years of financial services experience and proficient in TA Risk & Compliance Representative role
* FINRA Series 6, 23, and 63 Registrations Certification
* Certified Anti-Money Laundering Specialist (CAMS) Certification recommended

KNOWLEDGE, SKILLS & ABILITIES REQUIRED: (technical skills, communication skills, customer focus, time management skills, independence, and accuracy)

* Ability to make good judgments on escalation of items
* Leadership skills to help in the establishment and monitoring of department goals and objectives
* Experience with internet search engines and internet investigation techniques
* Initiative to take on additional responsibilities when needed
* Knowledge of the company's business and industry
* Skills to analyze reports/data to reach reasonable conclusions on shareholder identity and transactions
* Knowledge of USA Patriot Act, Anti-Money Laundering regulations, privacy laws, and fraud trends
* Strong technical skills with Microsoft Office (Outlook, Word, Excel, PowerPoint and SharePoint)
* Phone skills for handling shareholders, relatives of lost shareholders, banks, suspicious individuals
* Well-versed in rule 22c-2
* Knowledge of market-timing policies
* Ability to detect and prevent fraud
* Demonstrate commitment to superlative service, quality customer satisfaction
* Strong analytical skills and the ability to troubleshoot and resolve complex problems
* Possess strong interpersonal, oral and written communication skills
* Ability to present to all levels of management confidently and effectively
* Strong attention to detail