/n Description/n

/n

/n Overview/n

/n

/n /n

- To assist & monitoring in the processes and controls for all areas within Operations Services.

/n

- To minimising Risks, auditing of high risk transactions and process review

/n

- To identify, analysis of error trends, and incident reports as well errors tracking within Operation Services

/n /n

/n

/n Key Accountabilities and main responsibilities/n

/n

/n /n

- Targeted auditing of investor transactions, including off-market transfers (OMTs), dividend reinvestment plan (DRP), Electronic Direct Credit (EDC), Deceased Estate transactions

/n

- Quality assurance checking for Corporate Action projects, Issuer Services transactions, Insolvency Services, Equity Plan Solutions and Fixed Interest Transactions

/n

- Large holder checks by confirming instructions with Institutions as at record date

/n

- Error tracking to assist with the improvement of current processes and risk mitigation

/n

- Completion of monthly testing for Controlled Self Assessments (CSAs)

/n

- Supporting AML/FATCA processing team, processing and auditing FATCA forms from different stakeholders

/n

- Perform an enhanced due diligence verification for Anti-Money Laundering Link Funds Solutions applications forms, knowledge in Australian’s regulation rule /n
- Performing screening for PEP & Sanctions (Political Exposed Person)

/n

- Auditing Employee Plan shares (EPS) Operation transactions, static changes, terminations, vesting transactions, transfers, etc

/n

- 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

/n /n

/n

/n Strategic Focus/n

/n

/n /n

- Ensure high level of Quality Assurance across all transactions streams

/n

- Ensure all work is checked within specified time frames.





/n

- Daily interaction with Operations team managers regarding mitigation of errors. /n
- Satisfy all service standards (regulated or client SLA).

/n

- To assist all other members of the team, and as a team assists other areas as required to do so.

/n

- Commitment to the role of improving processes within Operational Services.

/n

- Develop expertise and awareness in all team members regarding:

/n /n

/n

/n -Auditing transactional processes and procedures/n

/n

/n -Different type of investor’s transactions /n

/n

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

/n

/n -the reconciliation of appropriate between processing and auditing records/n

/n

/n

/n

/n

/n Operational Management/n

/n

/n /n

- Reconcile all audit transactions in an accurate and timely manner and in accordance with agreed service standards

/n

- Manage and coordinate transactions requirements within Operation Services. The range of transactions may include:

/n /n /n

1.

Auditing High

Risk transactions

/n

2.

Auditing Corporate

Actions project such as Share Purchase Plan, Buybacks, etc

/n

- Auditing and reconciliation of EPS transactions

/n

- user acceptance testing

/n /n /n

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

/n





- Participate positively as a team member and contribute to the ongoing success of the Operational Services

/n

- Support Team Leader/Manager with staff support and management. /n /n

/n

/n People Leadership/n

/n

/n /n

- 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

/n

- Assisting Team Leader/Manager in achievement of Enlighten business objectives and staff/team performance.

/n

- Work as a second in charge (2IC) in absence of Team Leader

/n /n

/n

/n Governance & Risk/n

/n

/n /n

- Adherence to compliance and incident management policies /n /n

/n

/n The above list of key accountabilities is not an exhaustive list and may change from time-to-time based on business needs./n

/n

/n

/n

/n

/n Experience & Personal Attributes/n

/n

/n /n

- A robust client service focus

/n

- Thorough understanding and knowledge of all Operational Services functions, products, processes and procedures and in-house registry systems

/n

- Work well under pressure

/n

- Strong analytical and reconciliation skills

/n

- Ability to teach and train team members regarding all transactions within Operation Services systems

/n

- Highly organised, applying a systematic approach to work and status reporting

/n

- Proactive, patient, persistent, enthusiastic, and committed

/n

- Demonstrated ability to effectively prioritise work

/n

- Demonstrate high level of initiative and motivation

/n

- Flexible, able to meet demanding deadlines and work additional hours when required

/n

- Problem solving skills

/n

- A team player

/n

- Advanced knowledge of MS Excel

/n

- Quality Assurance focused

/n /n

/n

/n

/n

📌 Administrator, Process Control & AML (Parramatta)
🏢 MUFG Pension u0026 Market Services
📍 Parramatta