Manage daily investor services for hedge fund accounts including AML/KYC reviews, subscription/redemption processing, client communications, data integrity in FM3/SharePoint, and training staff on FM3 and compliance procedures.
Job Summary:
The Senior Associate - Investor Services will be responsible for the daily client servicing, recording and review of complex securities trading while meeting the very tight reporting deadlines and demanding obligations of Harmonic clients. Responsibilities include cash management, review/execution of bank, custody and prime broker operating account documentation and responding to client requests for information.
Essential Functions
General Responsibilities
- Work independently on all aspects of investor services for a large number of hedge fund accounts with a high volume of transactions and inquiries
- Respond to requests and inquiries from portfolio managers and investors
- Perform Anti-Money laundering (AML) checks whilst displaying a comprehensive knowledge of the established practices, processes and procedures
- Compliance with documentation standards as they relate to investor qualification criteria under U.S. and other jurisdictional requirements (FATCA, OFAC, AIFMD etc) and client constitutive documents
- Recording and review of compliance documentation for regulatory, anti-money laundering and know-your-customer standards
- Review investors eligibility to invest in specific funds
- Manage relationships with new and existing investors
- Review incoming subscription funds, notify Fund Accountant of subscription money sent (received) and any pending monies
- Maintenance of member registers including responsibility for data integrity
- Review and file original documents received
- Update contact details and distribution lists for registered shareholders
- Check investor services inbox and fax queue and respond to queries
- Support client phone lines and e-mail communication
- Recording transaction IDs in SharePoint system to incoming faxed documents
- Attach all documents related to transactions in FM3
- Set-up wires for redemption payments
Reconciling Responsibilities
- Log all incoming subscription, redemption & transfer transactions in FM3
- Attach downloaded swift reports to transaction entries in FM3
- Add review to pending subscriptions, redemptions and transfers in FM3
- Follow up on any AML needed for subscription, redemption or transfer orders
- Submit transfer requests to client for approval
Managerial Responsibilities
- Training of Investor Services personnel in all aspects of FM3 and compliance
Other Responsibilities
- Download client contact information reports from PI Web and update information in our system on a regular basis
- Monitor PI web for any transfers and update FM3
Job Requirements
- A college or university graduate
- 2+ years of experience working in a similar role or combined role working with complex securities and derivative products
Technical Requirements
- Solid working knowledge of all Windows applications
- Excel - advanced
- Experience with Qlickview would be an asset
- Basic understanding of Harmonic FM3 software preferred
Terms
- Full-Time Role
- On-Site at our Luxembourg office
- Compensation commensurate with qualifications and experience
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