JOB SUMMARY
The main aim and purpose of the role is to ensure that there is delivery on daily production through taking personal responsibility for delivery as well as collaborating effectively with other team members. Production should be within service and delivery standards set by the standardised processes. This role also responds to administrative queries per the set timelines. This role is responsible for building and maintaining relationships with other departments that its dependent on.
KEY TASKS AND RESPONSIBILITIES
Operational Efficiency
- Manage time, tasks and outputs to meet predetermined requirements, task cycle times and/or work deadlines.
- Follows standardised processes, provides administrative support, delivers on daily production standards and adheres to service and quality standards in order to deliver on:
- Daily processing of instructions and raw data into Hiport (cash entries, investments and settlements).
- Preparation and timely dispatch of investment & withdrawal instructions to the various Custodians.
- Daily Unit Trust pricing.
- Daily cash account reconciliations.
- Daily unit reconciliation between Hiport & Retail System
- Month asset recon for custodian accounts
- Queries management.
- Relationship building by:
- Providing telephonic and face-to-face service to internal & external stakeholders.
- Managing the relationship with other departments.
- Implement and adhere to internal processes.
- Monitor system performance and recommend modifications so that the unit can take best advantage of information systems technology to meet the unit’s goals and objectives.
- Take up and deliver on any other activities/projects that may be delegated by management.
Risk Management, Internal Governance and Compliance
- Escalate risks/control breaks to management when identified. Assist in management of those risk/control breaks
- Assist in audit management process as required by manager
- Compliance to all regulatory requirements and internal policies
Financial Management
- Assist in management of unit’s budget by avoiding wastage of resources and managing own expenses.
SKILLS AND COMPETENCIES
- Good communication skills (written & oral)
- Excellent Computer packages (word/excel ) knowledge.
- Good assessment, analytical and problem-solving skills
- Ability to interact at all levels.
- Financial management & report writing skills.
- Proven planning, co-ordination and time management skills
- Business Awareness
- Attention to detail
KNOWLEDGE & EXPERIENCE
- At least 2 years’ relevant experience
- Knowledge of financial service operations
- Technical Knowledge – product, process and KYC/AML compliance requirements knowledge.
- Proficiency in the core Business Systems.
QUALIFICATIONS
- Business related Degree
- A background in custody services is an additional advantage.
Skills
Accounting, Action Planning, Budget Management, Calendar Coordination, Computer Literacy, Data Analysis, Database Reporting, Data Compilation, Data Interpretations, Executing Plans, Financial Acumen, Management Reporting, Numerical Aptitude, Oral Communications, Report Review
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JOB PURPOSE
- The role holder will be responsible for ensuring the Old Mutual Investment Group KE business's compliance with Anti-Money Laundering (AML); countering Financing of Terrorism and Proliferation regulations, mitigating financial crime risks, and maintaining a robust AML/CFT/CPF program. The role involves implementing policies, procedures, and controls to detect, prevent, and report suspicious transactions while safeguarding the Old Mutual's reputation and financial integrity.
PRINCIPAL ACCOUNTABILITIES.
- To assist the Old Mutual’s Accountable Person in discharging their statutory reporting obligations in terms of the Anti-Money Laundering, Anti-Terrorism and Combating Proliferation act and regulations.
- Implement the Risk Management and Compliance Program, determine controls and procedures to mitigate money laundering (ML), terrorist financing (TF) and proliferation financing (PF) risks in-line with the AML/ Counter Terrorist and Proliferation Financing (CTPF) Risk Management and Compliance Programme (RMCP).
- Design, implement or review existing processes regularly to identify gaps and potential inefficiencies and contribute development and implementation of new processes or working instructions
- AML/CFT/CPF alerts management -Investigate and manage timeously transaction monitoring; watchlist (UN/OFAC/HMT/EU hits) or PEP alerts
- Investigate and escalate immediately material AML, CFT/CPF and sanction breaches, risks, risk events or material non-compliance to the MLCO or Group AML Officer
- Deliver holistically on all the regulatory and internal reporting requirements. Discharge mandatory reporting obligations by reporting suspicious transactions to MLCO, for onward reporting to Financial Intelligence Authority (FIA).
- Remaining fully up to date with AML/CFT/CPF legislation/guidance in Country and ensuring timely updates to implement changes in legislation/regulation.
- Product risk assessments and new product approvals – support the business as the subject matter expert on AML/CFT/CPF product risk assessment governance and approvals.
- Regularly reporting to the senior management to ensure that AML/Sanctions /CFT/CPF and Regulatory Compliance risks are adequately identified, understood and managed.
- Continuously develop and review the AML/CFT/CPF/ Sanctions and Regulatory Compliance systems to ensure they remain up to date, meet current statutory and regulatory requirements and are effective in managing AML/Sanctions /CTF and Regulatory Compliance risks arising from the business.
- Provide advice to all relevant departments/ divisions in the performance of their duties in accordance with the AML/CFT/CPF policy and regulations
- Responsible for the development and implementation of a robust, continuous AML/CFT/CPF/ Sanctions training program for all staff and intermediaries.
- Cooperating with Risk and Compliance Manager or Group AML Officer on requests for information, reviews, audits and investigations on the Anti-Money Laundering Act/AML/CFT/CPF related investigations.
- Conduct the AML/CFT/CPF Business Risk Assessment in line with regulatory and RMCP requirements.
- Assisting the Risk and Compliance Manager in the development, implementation and maintenance of compliance risk management and monitoring plans for Old Mutual Investment group KE, specific to AML
- Conduct due diligence review on strategic business partners to evaluate potential AML/Sanctions /CTF and Regulatory Compliance risks.
- Controlled Disclosure
- Maintenance of records related to AML/ CFT/CPF duties specified above including training records, review reports for back testing, supporting documents used to resolve alerts etc.
- Ensuring effective and timeous reporting in respect of AML regulatory requirements, risks identified and overall AML/CFT/CPF compliance of Old Mutual entity, to various stakeholders within the organization including loading in CURA.
- Handle other duties as assigned to assist overall regulatory compliance.
KNOWLEDGE AND EXPERIENCE.
Qualifications:
- Degree in Compliance, Legal, Risk Management or any related field.
- Certificate in Anti Money Laundering and Compliance Management.
Experience:
- 2 years’ work experience.
SKILLS AND COMPETENCIES.
- Strong understanding of AML regulations and guidelines.
- Excellent analytical and investigative skills.
- Proficient in data analysis and reporting tools.
- Strong communication and interpersonal skills.
- Ability to handle confidential information with discretion.
- Proven experience in AML compliance within the financial services industry.
- Possesses a strong sense of ownership and initiative as well as a proactive mind-set
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JOB SUMMARY
Management of the Customers and all issues/matters relating to walk-in, email or other channels of communication.
KEY TASKS AND RESPONSIBILITIES
- Timely report of NPS collection and other customer related reports 2. Handle, resolve and document customer complaints.
- Complete accurate and timely documentation of all services provided to callers.
- Support the branches, Call Center and front facing teams with customer information as and when.
- Respond to customer incoming calls as per agreed TATs
- Ensure closure of CRM issues – liaise with other team members to close
- Carrying out customer surveys, social media, and email management.
- Retrieval and send out Monthly statements to customers in line with the OM confidentiality guidelines.
- Respond to Customer audit/financial requests as and when 10. Research required information using available resources.
- Escalate / liaise with other teams on any issues which require further consultation.
- Provide customers with product and service information in line with OM confidentiality guidelines 13. Liaise with the Group CX unit and attend CX forums as necessary.
- Adherence to AML/KYC/Risk & Compliance
- Performs all other tasks as assigned by the line Manager.
Qualifications & Experience
Competencies
- Basic level of proficiency with Windows based applications such as MS Office, Excel, Word
- Proficient ability to analyse data and develop recommendations.
- Strong verbal and written communication skills
- Ability to maintain a positive, empathetic, and professional attitude toward customers at all times
- Excellent interpersonal and communication skills that help with serving clients.
- Ability to learn new tasks/duties quickly (learning curve)
- A good team player
- Timely and organized.
- Continuous involvement in projects geared towards improving the customers’ experience.
- Proactive participation and support of operation’s initiatives
Skills and competencies
- Business related degree
- Customer service experience from a Multinational an added advantage
- Knowledge in customer service principles and practices
- Professional experience in an office setting using the telephone and computer as primary instruments to perform duties
- Ability to stay calm when customers are stressed or upset
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