Pasig, Philippines

Senior FATCA / CRS Analyst (APAC)

Full-time / part-time
Compliance & Risk
Ortigas Avenue

Job description

The successful incumbent will be an extension of the first line of defense within US, with a focus on providing quality KYC & CDD work on both clients and investors. The tasks will be completed in accordance with internal AML/CFT policies and procedures, as well as international and domestic AML/CFT regulations and guidelines, across a wide spectrum of service offerings, which include Funds & Institutional, Debt, Capital Markets & Corporate, and Private Wealth.  

  • Perform AML/KYC onboarding & periodic reviews on clients and investors in accordance with scheduled cycles ensure compliance with OFAC, FinCEN and FINRA AML/CFT regulations.
  • To conduct name screening, review of due diligence documents, and risk assessments within established timelines.
  • To review source of wealth & funds background of clients and investors in line with regulatory requirements.
  • To ensure KYC documents are up to date and properly recorded.
  • To provide independent recommendations to mitigate the identified risks across the existing client & investor book where necessary, and/or be responsible for escalating the findings to the necessary stakeholders.
  • To assist the wider US Teams with managing client data and trackers to see through completion of full cycles.
  • To perform management reporting on key statistics and status updates in an efficient manner.
  • Be the point of contact for clients to collect due diligence documents in relation to the fund’s investors periodic review and provide timely response to client.
  • To assist and support the team in administrative tasks where required.
  • Support the department as required within the confines of role.
  • Undertake any additional reasonable duties as required the Firm

FATCA (Foreign Account Tax Compliance Act) Standpoints:

  • Maintain records of FATCA Tracker and forms for each fund / investor(s).
  • Review CRS Self Certification forms from 400 plus funds and multiple investor(s) that we provide FATCA service to identify their FATCA / CRS Classification.
  • Assist and liaise with Client Services Team regarding FATCA documents as per required.
  • Monitoring FATCA mailbox.
  • Review statuses correspond to forms provided and review internal consistency of forms collected (e.g. incomplete or missing sections).
  • Verify declared status on form is consistent with AML documents.
  • Validate GIINs provided by investors against IRS published information and flag any that cannot be verified for query or follow-up.
  • Enter and check reportable / non reportable status of each investor based on whether investor or their Controller is Specified Person for the reportable jurisdiction.
  • Provide guidance regarding FATCA and CRS regulatory deadlines.
  • Monitoring of local regulations, deadlines, and FATCA / CRS regimes.
  • Work closely with different jurisdictions to ensure the filing of regulatory reports are met.


Key competencies for position and level

  • Strong analytical skills with excellent attention to detail
  • Results oriented and ability to multitask and manage high volumes of priorities in a fast-paced environment
  • Resourceful with good verbal and written communication skills

Essential Criteria

  • Bachelor’s degree in Law, Accounting, Finance, or equivalent fields
  • At least 3-5 years’ experience in KYC/AML roles, Client Onboarding, Periodic Risk Reviews and Remediation Process, AML/CFT Compliance or related function
  • Proficiency in English written and verbal communication
  • Ability to work under pressure in a fast-paced environment

Desired Criteria

  • 1-2 years of team management / supervisory experience
  • Strong MS Office skills (especially Excel)
  • Professional Certifications in Anti-Money Laundering (such as ICA or ACAMS) is not mandatory but would be an advantage
  • Some knowledge on Fund Administration, Investor KYC/AML or Corporate Services would be helpful
  • Experiences in client facing roles or sitting in the first line of defense would be an advantage

Additional information

At IQ-EQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.

Company description

IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.

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