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