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TA Oversight and AML Operations Senior Specialist

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Banking Operations
Circa £70,000
City of London
United Kingdom
29-09-2022 09:56 AM
Role: TA Oversight and AML Operations Senior Specialist
Positions: Permanent 
Salary: Competitive

Overview of the role:
  • Carry out the day to day process for issuing and chasing FCRA questionnaires for Distributors and Intermediaries, including an initial roll-out to our third party distributors.
  • Assisting with the initial assessment of distributors and intermediaries, and liaising with the Financial Crime team as appropriate.
  • Completing FCRA on distributors and intermediaries based on completed questionnaires.
  • Assist with investor screening activities (sanctions, PEPs, adverse media), some of which are outsourced to third party administrators.
  • Be actively involved in investor due diligence activities, some of which might manifest as re-ID projects led by our third party administrators.
  • Be actively involved in the due diligence process for Segregated Mandate clients, including driving an unrivalled client experience through self-serve opportunities.
  • Assist with the implementation of operational change related to financial crime prevention which could be generated internally, by our third party administrators and also by regulatory / industry change. Assist with general queries relating AML / CDD from third party administrators in the UK, Ireland and Luxembourg.

 TA Oversight

  •  Monitor and validate the investor tax reporting on an annual basis.
  • Undertake quarterly reviews of the management company rebate process;.
  • Support the client complaints handling process.
  • Coordinate Ongoing monitoring and periodic due diligence of the TPA(s) including.
  • Monthly Service Review Calls and TPA Governance Meetings.
  • Review and assessment of KPIs and SLAs.
  • Support the CO in the delivery of reporting to HMSA Management Committee and HMSA and Funds Boards covering Operations / Distribution.
  • Assist in the provision of regulatory reporting to the CSSF, CBI and other local regulators as may be required from time to time.
  • Ensure a robust governance framework (including relevant procedures) is maintained. 


  •  Build direct relationships with our transfer agencies, distributors / intermediaries, and with sales, financial crime compliance teams and legal teams within the company.
  • Develop and support additional FCRA responsibilities (extended regulation or further jurisdictional requirements) as required.
  • Continuously seek to identify operational efficiencies in the team’s processes.
  • Report to the Conducting Officer responsible for TA and Distribution oversight with a functional reporting line to the Manager of the AML Operations team.
  • Support and implement the Financial Crime Operations processes/procedures, systems and controls.
  • Carry out additional duties as assigned. 
Key skills required:
  • Prior experience of TA oversight and knowledge of financial crime prevention operations (e.g. due diligence, screening, KYC)
    Very good working knowledge of investment funds and products, including segregated mandates, with a focus on the Luxembourg and Irish fund industry.
  • Good IT skills, including PowerPoint, Word and Excel required.
  • Fluent written and spoken English required; other European languages an advantage.
  • Committed team player with a collaborative approach
  • Ability to work closely and add value within both HMSA and the Group.
  • At ease with multiple reporting lines built on a matrix organisation.
  • Highly organised.
  • Good communication skills, both verbal and written, and the ability to liaise with senior management, peers and other team members.
  • Ability to build and maintain relationships internally and externally and manage stakeholders, especially at senior level. 

Josh Angus

Managing Director

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