Description
Overview

- To assist & monitoring in the processes and controls for all areas within Operations Services.
- To minimising Risks, auditing of high risk transactions and process review
- To identify, analysis of error trends, and incident reports as well errors tracking within Operation Services

Key Accountabilities and main responsibilities

- Targeted auditing of investor transactions, including off-market transfers (OMTs), dividend reinvestment plan (DRP), Electronic Direct Credit (EDC), Deceased Estate transactions
- Quality assurance checking for Corporate Action projects, Issuer Services transactions, Insolvency Services, Equity Plan Solutions and Fixed Interest Transactions
- Large holder checks by confirming instructions with Institutions as at record date
- Error tracking to assist with the improvement of current processes and risk mitigation
- Completion of monthly testing for Controlled Self Assessments (CSAs)
- Supporting AML/FATCA processing team, processing and auditing FATCA forms from different stakeholders
- Perform an enhanced due diligence verification for Anti-Money Laundering Link Funds Solutions applications forms, knowledge in Australian’s regulation rule
- Performing screening for PEP & Sanctions (Political Exposed Person)
- Auditing Employee Plan shares (EPS) Operation transactions, static changes, terminations, vesting transactions, transfers, etc
- Building rapport and working closely with other departments within Operational Services internally or different department such as Capital Markets, CRG and EPS and Risk/ Compliance

Strategic Focus
- Ensure high level of Quality Assurance across all transactions streams




- Ensure all work is checked within specified time frames.
- Daily interaction with Operations team managers regarding mitigation of errors.
- Satisfy all service standards (regulated or client SLA).
- To assist all other members of the team, and as a team assists other areas as required to do so.
- Commitment to the role of improving processes within Operational Services.
- Develop expertise and awareness in all team members regarding:

-Auditing transactional processes and procedures -Different type of investor’s transactions -delivery within client service level agreements (SLA’s) -the reconciliation of appropriate between processing and auditing records
Operational Management

- Reconcile all audit transactions in an accurate and timely manner and in accordance with agreed service standards
- Manage and coordinate transactions requirements within Operation Services. The range of transactions may include:

1. Auditing High Risk transactions
2. Auditing Corporate Actions project such as Share Purchase Plan, Buybacks, etc
3. Auditing and reconciliation of EPS transactions
4. user acceptance testing

- Continuous and proactive focus on recommendations that will yield improved operational efficiency, system enhancements, revenue opportunities or risk reduction




- Participate positively as a team member and contribute to the ongoing success of the Operational Services
- Support Team Leader/Manager with staff support and management.

People Leadership
- Assisting Team leader/ Manager in maintaining day to day activities including Auditing Operational Services transactions, AML applications Verification, EPS, FATCA transactions, and management of critical and urgent auditing requests and enquiries
- Assisting Team Leader/Manager in achievement of Enlighten business objectives and staff/team performance.
- Work as a second in charge (2IC) in absence of Team Leader

Governance & Risk
- Adherence to compliance and incident management policies

The above list of key accountabilities is not an exhaustive list and may change from time-to-time based on business needs.
Experience & Personal Attributes

- A robust client service focus
- Thorough understanding and knowledge of all Operational Services functions, products, processes and procedures and in-house registry systems
- Work well under pressure
- Strong analytical and reconciliation skills
- Ability to teach and train team members regarding all transactions within Operation Services systems
- Highly organised, applying a systematic approach to work and status reporting
- Proactive, patient, persistent, enthusiastic, and committed
- Demonstrated ability to effectively prioritise work
- Demonstrate high level of initiative and motivation
- Flexible, able to meet demanding deadlines and work additional hours when required
- Problem solving skills
- A team player
- Advanced knowledge of MS Excel
- Quality Assurance focused

📌 Administrator, Process Control & AML (Parramatta)
🏢 MUFG Pension & Market Services
📍 Parramatta