Administrator, Process Control & AML

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 portfolio of global clients to provide robust, efficient and scalable services, purpose-built solutions and modern technology platforms that deliver world class outcomes and experiences. A member of MUFG, a global financial group, we help manage regulatory complexity, improve data management and connect people with their assets, through exceptional user experience that leverages the expertise of our people combined with scalable technology, digital connectivity and data insights.

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:
Auditing High Risk transactions Auditing Corporate Actions project such as Share Purchase Plan, Buybacks, etc Auditing and reconciliation of EPS transactions 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