Vice President, Counterparty KYC

Job Description

The Vice President will play a critical role in the supervision and management of the KYC team in Mumbai and managing the financial crime risks identified through the KYC process, including evaluating documentation gathered as part of investment and counterparty due diligence. This includes ensuring appropriate information is gathered, analyzed and documented as part of the review process and that the team understands the nature, structure and risk of the proposed investment. The work performed by the team must ensure consistent application of the Firm’s risk tolerance and relevant jurisdictional requirements.
 

Specific responsibilities will include but are not limited to:

• Manage a team of professionals in Mumbai, including acting as a subject-matter expert and thought leader, providing day-to-day guidance to the team in the course of performing KYC, assessing and communicating financial crime risks to senior management, and overseeing the quality of work product;
• Directly liaise with investment professionals, internal deal counsel, and external counsel to ensure all relevant onboarding documentation and required information is obtained in accordance with the FCP Program;
• Develop and maintain desktop KYC policies and procedures;
• Assist with identifying any high-risk situations and coordinating projects to bridge actual or potential gaps between the FCP Program and the relevant regulatory requirements;
• Develop and implement a system for ensuring the quality of the team’s work product;
• Collaborate on the development and enhancement of technology-based solutions relating to KYC workflow and document repositories;
• Train new joiners in relevant processes, assist in cross-training as needed; and
• Support and assist with special projects and ad hoc requests/tasks as required
   

Education:

• Bachelor’s Degree is required, preferably from a top university with strong academic achievement

Experience Required: 

• 10+ years of relevant financial services compliance experience, including previous financial crime prevention responsibilities;
• Strong understanding of the investment adviser industry, and U.S. and global securities laws, including the Investment Advisers Act;
• Strong understanding of Anti-Money Laundering documentation requirements in accordance with relevant legislation and regulations in the United States; international exposure considered a plus;
• Knowledge of complex corporate entity types, and the formation, constitutional, management/control and ownership documents of each and the information contained within them;
• Familiarity with SEC, FCA, CSSF and CIMA regulatory reviews and interpretation of regulations
• Demonstrated history of strong written and verbal communication with various internal and external stakeholders of varying seniority and expertise; and
• Proficient in Microsoft Office Suite (Word, Excel, Visio, Project, PowerPoint)

General Requirements:

• Strong sense of ownership and accountability; diligent work ethic;
• Demonstrated ability to exercise and document sound, risk-based decision-making and judgment;
• Ability to manage team while also having own responsibilities for handling complex and other daily matters;
• High accuracy and extremely detail-oriented;
• Ability to multi-task and prioritize deadlines; results-oriented;
• Effective communication skills and excellent client-service orientation; responsive and dependable;
• Exceptional organizational skills;
• Adept at working independently within a fast-paced environment;
• Ability to be flexible in terms of hours in order to coordinate with team members across time zones;
• Comfort in dealing with ambiguity and uncertainty in a dynamic environment;
• A desire to drive outcomes and a passion for building efficient process and procedures to support the scaling of a growing business;
• An analytical mind and a strong interest in bringing new ideas to increase efficiency of existing processes;
• Dependable, highly motivated team player; fosters team collaboration; and
• Ability to handle confidential information appropriately.

Reporting Relationships

There is no set deadline to apply for this job opportunity. Applications will be accepted on an ongoing basis until the search is no longer active.