Posted on 2022-08-05

CIB Operations - Securities Services - Transfer Agency Associate

JPMorgan Chase Bank, N.A.

Key Responsibilities:

  • Daily oversight of Transfer Agency activities covering Luxembourg, Irish and Cayman domiciled funds distributed by fund promoters in Asia
  • Experience in Transfer Agency operational activities including registrations, dealing and client enquiry functions. Experience in the oversight of Transfer Agency activities will be beneficial. Wider Fund Services experience welcomed such as Fund Accounting, Custody, and Compliance welcomed.
  • Familiar with Transfer Agency controls, systems such as GFAS, Oracle or other equivalent Transfer Agency tools/systems
  • Actively identify and systematically record system/operational gaps by working with our Product, Prod Development and Technology partners in mitigation and resolution to close gaps
  • Partner with Asia service providers to ensure client SLAs are delivered in a timely and accurately manner with defined controls and processes
  • Manage client and investor queries for Asia distribution
  • Assist in assessment and validation of AML/KYC documentation to facilitate account opening on behalf of client fund promoters
  • Process AML/KYC assessments for new account opening and ongoing requirements for account maintenance within applicable deadlines
  • Take ownership in the tracking and following up on outstanding issues and identify areas of improvements for investors (i.e. reducing manual touch points)
  • Manage and respond to AML/operational related queries in a professional and timely manner
  • Ensure internal controls and procedures are up to date and compliant with required internal policies/regulatory requirements
  • Good understanding of AML/KYC regulatory requirements including Financial Crimes prevention, Cayman, Luxembourg and Irish fund regulations
  • Ability to work with senior stakeholders in required compliance and client escalation
  • Be familiar in using market screening systems (Bridger, Fundsphere, Fernergo or equivalents)
  • Provide oversight and support to Asia service partners


  • 5 to 10 years of experience in Transfer Agency roles within the Luxembourg, Dublin or Cayman Fund Industry - local Asia distribution experience will be an advantage
  • Motivated individual and self starter, able to work well as part of a team and ability to take own initiative to drive operational scale and efficiency
  • Adept at problem solving, identifying pain points in controls, processes and procedures and making applicable resolutions to issues identified
  • Ability to work with global teams in different jurisdictions and time-zones
  • Previous role/s with strong control and regulatory environment
  • Good understanding of Asian and European fund distribution requirements and related AML rules and regulations - specifically on Cayman, Irish and Luxembourg requirements
  • Strong client servicing experience will be essential i.e. investors and/or fund promoter clients
  • Proven Knowledge of regulatory requirements for Transfer Agency and ability to translate them into executable operational requirements

Language Requirements:

  • Fluency in English, Cantonese and Mandarin - Business spoken and written

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More job information
Job Function
  • Kwun Tong
Employment Term
  • Permanent
  • Full-time
  • 5 years - 10 years
Career Level
  • Non-management level
  • N/A