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:
Auditing High Risk transactions
Auditing Corporate Actions project such as Share Purchase Plan, Buybacks, etc
Auditing and reconciliation of EPS transactions
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 (New South Wales)
🏢 MUFG Pension & Market Services
📍 New South Wales