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Administrator, Process Control & AML

icon building Company : Mufg Pension
icon briefcase Job Type : Full Time
icon geo-alt Harris Park, Australia

Job Description - Administrator, Process Control & AML

Description

Overview



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

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

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




Key Accountabilities and main responsibilities



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

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

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

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

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

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

  • Perform an enhanced due diligence verification for Anti-Money Laundering Link Funds Solutions applications forms, knowledge in Australian’s regulation rule 

  • Performing screening for PEP & Sanctions (Political Exposed Person)

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

  • 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




Strategic Focus



  • Ensure high level of Quality Assurance across all transactions streams

  • Ensure all work is checked within specified time frames.

  • Daily interaction with Operations team managers regarding mitigation of errors. 

  • Satisfy all service standards (regulated or client SLA).

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

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

  • Develop expertise and awareness in all team members regarding:





-Auditing transactional processes and procedures


-Different type of investor’s transactions 


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


-the reconciliation of appropriate between processing and auditing records







Operational Management



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

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



  1. Auditing High Risk transactions

  2. Auditing Corporate Actions project such as Share Purchase Plan, Buybacks, etc

  3. Auditing and reconciliation of EPS transactions

  4. user acceptance testing



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

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

  • Support Team Leader/Manager with staff support and management. 




People Leadership



  • 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

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

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




Governance & Risk



  • Adherence to compliance and incident management policies 




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






Experience & Personal Attributes



  • A strong client service focus

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

  • Work well under pressure

  • Strong analytical and reconciliation skills

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

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

  • Proactive, patient, persistent, enthusiastic, and committed

  • Demonstrated ability to effectively prioritise work

  • Demonstrate high level of initiative and motivation

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

  • Problem solving skills

  • A team player

  • Advanced knowledge of MS Excel

  • Quality Assurance focused




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About the Company

Mufg Pension

MUFG Pension & Market Services is a global, digitally enabled business that empowers a brighter future by connecting millions of people with their assets – safely, securely and responsibly. Through our two businesses MUFG Retirement Solutions and MUFG Corporate Markets, we partner with a diversified...

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