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FCP Operations AML Apprentice

Please Note: The application deadline for this job has now passed.

Role Responsibility

Who we are: 

SS&C is the world’s largest hedge fund and private equity administrator, as well as the largest mutual fund transfer agency. SS&C’s unique business model combines end-to-end expertise across financial services operations with software and solutions to service even the most demanding customers in the financial services and healthcare industries. SS&C owns and operates the full technology stack across securities accounting, front-to-back-office operations, performance and risk analytics, regulatory reporting, and healthcare information processes.
SS&C’s trusted and proven technology delivers an unparalleled level of scalable capabilities for the most complex portfolios, the most sophisticated strategies, and the highest volumes of transactions. Through a series of carefully selected acquisitions and organic growth, the breadth and depth of SS&C’s expertise in financial services and healthcare technology are unmatched.


We encourage applications from people of all backgrounds and particularly welcome applications from under-represented groups, to enable us to bring diversity of perspective to our thinking and conversation. It’s important to us that we strive to have a workforce that is diverse in the widest sense. 
All offers of employment at SS&C are subject to background verification checks, including 5 year employment history, proof of eligibility to work in the UK, proof of address, credit check and criminal record check. The accuracy of all information you submit as part of your application is vital and may be used as part of the background checking process should you be successful.

Role Overview:

To make relevant updates to the register and respond to customers, Management companies, IFAs or third parties accordingly.  Be able to work within strict guidelines and in line with Service Level Agreements (SLAs) and Key Performance Indicators (KPIs). 

To identify the required documents needed to verify Retail and Corporate investors, including but not limited to, the legal owner, beneficial owners and their ownership share, ultimate beneficial owners, associated role types where applicable and in line with the category, reviewing complex structures, assessing the risk associated with where the corporate is residing and where associated parties reside and operate.

This role requires the associate to be proficient and gain an in-depth understanding of Retail and Corporate KYC and AML requirements, being able to use developed specialised skills to complete a wide range of tasks with a limited degree of supervision.

The associate will work alongside designated Management Companies and their FCP contacts and become a point of reference for all queries that relate to a Retail and Corporate investor.

 

 

The Ideal Candidate

Main Responsibilities:

Managing work queues to ensure work is processed within SLA’s and any additional work is completed within guidelines set by Management Team. 

Responding to enquiries and e-mails in a timely and professional manner.

Answering referred work from offshore colleagues ensuring responses are clear, unambiguous and answered in good time using relevant referral templates.

Ad-hoc Support with Compliance samples and Projects.

Training and Development ensuring taking responsibility for own development including annual regulatory training.  Provide training/upskilling of team members.

Use of Active Operational Management Tool. 

Completion of Operational Checklist Portal Controls ensuring that all work is completed.

Ownership of annual procedure reviews.

Attends Client Audit & Oversight visits, participating where required.

Acts as a point of reference for FCP staff including managing queries.

Support Quality team with error and complaint investigation, where required.

Able to lead and support admin level staff within the team as and when required.

Ownership of query investigation and participation in Client walkthrough, where required.

Complete Data Steward tasks, where required.

Carries out any other duties which are within the employee's skills and abilities whenever reasonably instructed.

This role requires understanding of all corporate sub types and how they are set up, structured and what documentation is required to satisfy KYC/KYB/AML regulations.

  • Listed Public Companies
  • UK and EEA regulated firms
  • Nominees
  • Non UK and EEA regulated firms
  • Distributor
  • Platforms
  • Collective investment schemes/Fund of Funds
  • Lawyers and Accountants acting in a professional capacity
  • Pension Schemes (local authority, regulated, registered, SASS and unregulated schemes)
  • Private Corporates
  • Charities (Registered, incorporated and unincorporated and unregistered)
  • Trusts
  • Religious bodies (Churches and places of worship)
  • Other Corporates such as clubs and societies
Able to obtain, download and review a variety of corporate documentation such as but not limited to, Certificate of incorporation , Trust Deeds, Wolfsberg Questionnaires, structure charts,  constitutional documents
 

All employees are accountable for the delivery of a Quality service, driving for excellence in all their work activities:


•    To be quality driven, aiming for 100% accuracy and timeliness of delivery
•    To effectively plan the way services are delivered so that all activity is directly related to providing quality services and meeting the expectations of the customer (both internal and external)
•    To continuously review processes and practices relating to the role and act as a catalyst for change and improvement in both individual and team performance
•    To observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties
•    To communicate and promote the values which reinforce and support a consistent quality culture

Essential:

  • Good verbal reasoning and numeric skills. 
  • Ability to analyse and appraise work, to identify potential areas of concern that could lead to risks.
  • Competent in producing professional written communications.
  • Ability to manage own workload and work independently with minimal guidance.

Desirable:

  • administration.
  • Experience in Financial Services Industry.
     

Package Description

  • Competitive starting salary, followed by regular reviews and increases, as milestones are met.
  • Hybrid working environment 
  • Fully paid training and qualifications
  • Competitive holiday policy
  • 6% employer pension scheme contribution
  • Life Assurance (4 x salary)
  • Single person healthcare
  • Flex benefits scheme
  • Discount scheme
  • Sports and Social groups
  • On site canteen

SS&C

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