KYC Expert, Transfer Agency and Investor Services

Direct Responsibilities

• Act as key point of contact for investors and clients
• Ensure queries and requests from investor/client are dealt with in a timely and professional manner
• Maintain and develop trust based relationships with investors/clients
• Partner with clients by providing professional advice and resolutions where required
• Ensure a satisfactory and high level of service is delivered to investors/clients, and that the Client SLA’s are met
• Manage and resolve issues relating to day to day trade processing and reporting; review junior’s work and take accountability of all assignments
• Work closely with internal BNP Paribas teams both within the department but in other locations or with other departments to ensure cohesive client delivery
• Act as an escalation point and deal with difficult issues not being handled by junior staff
• Ensure delivery of work and services are in a controlled manner with strict compliance with BNP Paribas’ internal policies and procedures as well as fund document and external regulatory requirements
• Lead and undertake special projects such as Annual FINRA / Regular AML Recertification and Annual FATCA/CRS Reporting
• Represent the team in client, auditor and inter-department meetings.
• AML/CFT risk awareness and complete all identified mandatory training to ensure understanding of relevant/applicable Group policies (including but not limited to financial security related matters) and to escalate any irregularities where necessary. To also ensure that his/her team has completed and will adhere to the same.

Contributing Responsibilities

• Make recommendations to the department head or other operation teams where improvement is needed for enhancing client satisfaction and delivery
• Assist in training and coaching staff to enhance performance
• Assist in new mandate pitching meeting and fund documentation review / fund structure discussion
• Lead the implementation of system updates, new initiatives and systems and amendments to processes and procedures
• Lead the team to complete the regular audit exercises including internal, risk and ISAE audits as well as fund audits and institutional investor audit confirmations

Risk and Compliance

• Ensure the operating model in compliance with regulations, market infrastructure evolution and BNP Paribas internal control rules and meet compliance and regulatory obligations

Conduct

• Adhere to the Code of Conduct and act accordingly internally, when facing clients and providers

Technical & Behavior

• Able to collaborate with other team members and provide assistance in BAU and project
• Being approachable by the junior staff for any enquires, with a positive working attitude and mindset setting role model to the teams
• Able to contribute on any business change and assist to drive the change
• Possess the required level of conduct that is promoted by the organization