- Permanent, Full time
- Schroders Investment Management
- Full time
Due Diligence Specialist
Due Diligence SpecialistRole Overview
One of the main responsibilities of Distribution Control team of Schroders Investment Management (Europe) Limited (hereafter "Schroders Europe") is the performance of Due Diligence and Ongoing Due Diligence on Intermediaries and Direct Investors on Schroders funds.
Apart from the collection and analysis of AML/KYC information and assessment of the risks of money laundering/terrorist financing, Distribution Control performs reputational and background checks on Investors, Beneficial Owners, related companies and individuals, as well as analyses of the operational models, distribution and marketing behaviour in relation to the promotion of Schroders Europe funds.
We are currently in the process of absorbing the AML/KYC activities from our internal Registration & Control team.
We are looking for a candidate who has passion, enthusiasm, desire, and ability to move things forward. The successful candidate will be part of a young dynamic team and will share with us daily challenges and successes.
The successful candidate will perform the following activities, but not limited to:
• Evaluate the risks of Intermediaries and their network prior to entering into a business relationship as well as on an on-going basis;
• Analyse the sales and operating model (covering marketing activities) of Intermediaries in relation to Schroders Europe funds, in particular cross-border distribution, as well as local marketing rules for unregistered funds during the onboarding and ongoing due diligence exercises;
• Review of the Intermediaries' AML/CTF policies and other relevant investors' documents on a case by case basis;
• Assist Client Support Managers (CSMs) and our worldwide based Sales Offices (SOs) in their communication with the investors with regards to Schroders Europe KYC requirements, by providing the overview and clarifications of the Luxembourg AML/CTF legal framework and relevant legislation;
• Assist CSMs and SOs on agreement negotiation related subjects, where required, ensuring that AML/CTF wording is adequate and complete, and if necessary, interact with Legal and Compliance departments;
• Provide advice on new distribution channels, associated risks and possible mitigations.
- You come from an AML/KYC environment with a minimum of 3 years experience;
- You have a good knowledge and understanding of the Luxembourg AML/CTF and fund distribution regulatory framework;
- You are self-educated, proactive, curious and pragmatic;
- You are a decision taker with solution oriented mind-set, capable of taking initiatives;
- You are a strong team player with excellent communication skills;
- You are able to multi-task, work under pressure with respect to the deadlines;
- You are able to work in a dynamic and changing environment.
- You hold a degree in law;
- You are fluent in English (verbal and written), another European language (such as French, Spanish and Italian) would be an asset;
- You have a strong knowledge of Microsoft Office, in particular Excel and Word.