Job Description

Description

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Overview

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

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

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

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-Different type of investor’s transactions

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-delivery within client service level agreements (SLA’s)

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-the reconciliation of appropriate between processing and auditing records

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Operational Management

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- Reconcile all audit transactions in an accurate and timely manner and in accordance with agreed service standards
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- Manage and coordinate transactions requirements within Operation Services. The range of transactions may include:
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1. Auditing High Risk transactions
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2. Auditing Corporate Actions project such as Share Purchase Plan, Buybacks, etc
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3. Auditing and reconciliation of EPS transactions
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4. user acceptance testing
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- Continuous and proactive focus on recommendations that will yield improved operational efficiency, system enhancements, revenue opportunities or risk reduction
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- Participate positively as a team member and contribute to the ongoing success of the Operational Services
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- Support Team Leader/Manager with staff support and management.
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People Leadership

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- 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
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- Assisting Team Leader/Manager in achievement of Enlighten business objectives and staff/team performance.
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- Work as a second in charge (2IC) in absence of Team Leader
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Governance & Risk

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- Adherence to compliance and incident management policies
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The above list of key accountabilities is not an exhaustive list and may change from time-to-time based on business needs.

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Experience & Personal Attributes

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