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The Investor Services team (IST) which is part of the Fund Platform (FP) department is looking for an IST Oversight Manager based in our Luxembourg office.
The Fund Platform is part of Client Experience departments, located within global Investment Operations (IO).
The IST Manager provides leadership to and manages a team of associates responsible for the oversight of outsourced Transfer Agency delegates and appointed distributors of CG's Luxembourg, UK and Australian domiciled funds. In collaboration with the IST management team, monitors and manages the Oversight team's performance, being mindful of expectations from internal and external clients and stakeholders, with the overall goal of ensuring compliance with regulatory requirements whilst maintaining high quality client service.
Leads the framing of, oversees and manages the overall workflow processes, procedures and business deliverables of the team, considering resource allocation and associate development: in particular, oversight of appointed distributors and financial intermediaries (notably KYC/AML requirements thereof) as well as appointed service providers, with respect to processes and functions covered by IST (mainly but not limited to transfer agency service providers).
Evaluates existing controls design relative to exceptions, considering a variety of factors (e.g., segregation of duties); identifies and recommends solutions.
Draws on personal and collective business and technical acumen to provide guidance to other team members on how to address and resolve business and operational challenges and takes the lead to resolve them, liaising closely with relevant peers and key stakeholdersa as required.
Reviews, oversees and/or leads and approves the high risk/high impact activities, exceptions requests, significant change activities (e.g. driven by regulatory changes) and operational change requirements. Leads significant projects as assigned.
Works closely in conjunction with the Distribution, Sales & Marketing Conducting Officer to provide transparency, understanding and high quality reporting, including preparing materials for and presenting at relevant governance forums.
Maintains awareness of regulation expectations and industry practices in relation to the design and execution of distributor due diligence programs (including technology developments and requirements), transfer agency oversight including KYC/AML best practices, and monitors the evolution of the business to ensure appropriate oversight and alignment with stakeholders' expectations.
Manages the performance and growth of the team members and whilst doing so, demonstrates core CG leadership behaviours, in line with the Leading Capital framework, to Set The Tone, Engage People, Drive The Business, and Challenge Oneself, and notably with respect to CG's Diversity, Equity and Inclusion objectives.
The ideal candidate has 10 years experience of working within an asset management, asset servicing or audit company, with experience in one or multiple of the following dimensions: provider oversight, compliance, KYC/AML or risk function. Experience of working within a transfer agency or distribution oversight function more generally will also consititute an advantage.
Possesses and maintains current deep knowledge of industry regulations and best practices, including through a professional network of industry peers and forums, and demonstrates ability to bring that knowledge to bear on the organization of the team and the work.
Experience of managing a diverse team, ideally across multiple sites.
Fluent in English, with strong verbal and written communication skills, and a track record of effective communication with colleagues, counterparties and clients. Additional languages will be a plus.
Proven track record of excellent customer service and stakeholder management.
A highly-organized, self-driven and committed team player with intellectual curiosity to learn and expand knowledge.
Finance or business management related degree a plus.
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"I can learn more about Capital Group."
At Capital Group, the success of the people who invest with us depends on the people in whom we invest. That's why we offer a culture, compensation and opportunities that empower our associates to build successful and prosperous careers. Through nine decades, our goal has been to improve people's lives through successful investing. We know that our history is a testament to the strength of the people we hire. More than 7,800 associates in 30+ offices around the world help our clients and each other grow and thrive every day. Find us on LinkedIn, Glassdoor, FairyGodBoss, DiversityJobs and Instagram.
We are an equal opportunity employer, which means we comply with all federal, state and local laws that prohibit discrimination when making all decisions about employment. As equal opportunity employers, our policies prohibit unlawful discrimination on the basis of race, religion, color, national origin, ancestry, sex (including gender and gender identity), pregnancy, childbirth and related medical conditions, age, physical or mental disability, medical condition, genetic information, marital status, sexual orientation, citizenship status, AIDS/HIV status, political activities or affiliations, military or veteran status, status as a victim of domestic violence, assault or stalking or any other characteristic protected by federal, state or local law.
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Internal Number: 41361
About Capital Group
At Capital Group, the success of the people who invest with us depends on the people in whom we invest. That’s why we offer a culture, compensation, and opportunities that empower our associates to build successful and prosperous careers. Through nine decades, Capital Group’s goal has been to improve people’s lives through successful investing. We know that our history is a testament to the strength of the people we hire. Private ownership allows us to keep our eyes on the long term while more than 7,800 associates in 30+ offices around the world help our clients and each other grow and thrive every day.