Senior Administrator Dealing, Registration and AML/KYC - Transfer Agency
Core
Process investor transactions, maintain registration records, and execute AML/KYC controls for fund administration.
Role type
Senior IC transfer agency administrator (dealing, registration, AML/KYC)
Builds
Investor accounts, transaction records, and compliance documentation for fund managers
Domain
Financial services / Fund administration / Regulatory compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Transfer Agency operations, dealing administration, registration administration, AML/KYC processes, UCITS/OEICs/Unit Trusts/AIFs knowledge, regulated financial services experience, sanctions screening, customer due diligence, risk-based CDD, EDD, trade exception resolution, investor record maintenance, regulatory compliance, operational controls, stakeholder liaison, process improvement, system enhancements
Preferred skills
IAQ/CISI qualification, AML screening workflow systems, fund launches/migrations experience, FCA regulatory knowledge
Technologies
Transfer Agency platforms, Microsoft Office
Responsibilities
Process subscription, redemption, switch, and transfer requests; Validate dealing instructions against fund prospectuses; Maintain investor registration records and process account changes; Perform AML/KYC reviews and validate identity documentation; Conduct risk-based CDD and EDD activities; Review sanctions screening and PEP results; Investigate trade exceptions and discrepancies; Provide guidance and training to junior colleagues; Support process reviews and automation initiatives
Seniority
Senior, hands-on IC