State Street
Financial Services
InvestorAML,SeniorAssociate
“Investor AML, Senior Associate at State Street. Skills: Investor Anti-Money Laundering, FATCA/CRS, Client relationship management, regulatory and risk control, change management. Management and development of client relationships. ensuring the day-to-day service delivery for clients is consistently met and exceeded”
What You'll Achieve.
ensuring the overall goals of the team are met; ensuring all reviews are completed in a timely fashion by case managers assigned; ensuring that there is a focus on the control environment; Drive the development and implementation of appropriate procedures to meet internal controls, external compliance and regulatory requirements; help drive the continuous improvements and efficiencies within the team and wider department; Monitor overall timeliness of completion of tasks for your direct reports and supporting case managers; Responsibility for ensuring that key controls and policies/procedures are adhered to; implementing controls to prevent recurrence
Industry & Context.
Handle or resolve complex operational and customers complaints that are referred by clients and case managers; Sign off on errors and implementing controls to prevent recurrence
What They're Looking For.
Must Have
Degree in Finance and/or Business-related area (minimum 2. 2), or relevant working experience, Minimum 2 years Finance/Fund Administration experience, Proficient in Microsoft Office applications, particularly Excel, Experience in working to tight deadlines, with an ability to multi-task and to work calmly under pressure, Experience in client relationship management is essential for this role, Good working knowledge of AML and regulations impacting the industry
Nice to Have
ACAMS certification, or other AML qualification a benefit, preferable in an Investor Services/Transfer Agency department
What You'll Do.
Management and development of client relationships
ensuring the day-to-day service delivery for clients is consistently met and exceeded
Handle or resolve complex operational and customers complaints
Accountable for the controls within the teams
Drive the development and implementation of appropriate procedures to meet internal controls
external compliance and regulatory requirements
Contribute to operational
risk and AML audits and regulatory meetings
Ensure regular meetings with case managers assigned to client cases
promote regular one to one meetings within the team
offer developmental opportunities for any direct reports and supporting case managers
Monitor overall timeliness of completion of tasks for your direct reports and supporting case managers
Full autonomy for the operational effectiveness of management of assigned clients
Responsibility for ensuring that key controls and policies/procedures are adhered to
Sign off on errors and implementing controls to prevent recurrence
How You'll Work.
Team & Collaboration
Liaise with the client on development initiatives related to Investor AML or FATCA/CRS; Regular liaisons with the senior management team; providing departmental feedback on processes, client information; ensuring clear and transparent communication within the team; Attend relevant meetings within State Street; Ensure regular meetings with case managers assigned to client cases; promote regular one to one meetings within the team; offer developmental opportunities for any direct reports and supporting case managers
Communication Scope
Client Facing support; Client Servicing – board reports/client visits and presentations; Client Queries and Escalations – point of contact for assigned clients; Board Call attendance/support for assigned clients; Assurance letter and board letter requests; Due Diligence Questionnaires and Due Diligence Calls; MLRO Servicing – Reporting/Meetings/DDQs/Samplingoard Reporting and attendance; Management and development of client relationships; Liaise with the client on development initiatives related to Investor AML or FATCA/CRS; Regular liaisons with the senior management team, providing departmental feedback on processes, client information, ensuring clear and transparent communication within the team; Contribute to operational, client, risk and AML audits and regulatory meetings as required; Ensure regular meetings with case managers assigned to client cases, promote regular one to one meetings within the team and offer developmental opportunities for any direct reports and supporting case managers
Process & Methodology
Be actively aware and partake in departmental projects to help drive the continuous improvements and efficiencies within the team and wider department
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