Account Manager Transfer Agency

Investor Due Diligence

• AML screening to ensure investor compliance with money laundering
• All Investor Types Considered: individual, nominee, entity, trusts, partnerships, etc.
• Collection and Identification of Beneficial Owners and Shareholders
• Upfront and ongoing screening of investor and associated parties (UBOs, directors, trustees, etc.), PEP identification and reporting
• Registration and Static Data: Maintain Investor Registers including all static data such as address, emails, PEP, investor risk classification and tracking of KYC renewal date under Continuous Monitoring Program
• Distribute Investor Communications via manual email, portal or system generated
• Deal with Cash: Receive and Process Subscriptions, Redemptions, Transfers and Switches; Approve bank information for wires; Match funds received to funds in the bank
• Reconciliations: Reconcile money movements related to subscriptions, redemptions, ...