Pasig, Philippines

AML / FATCA Analyst

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

Job description

The successful incumbent will be an extension of the first line of defense within the US, with a focus on providing quality KYC & CDD work for 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 to 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 the 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 the 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 investor's periodic review and provide timely responses to clients.
  • Assist and support the team in administrative tasks where required.
  • Support the department as required within the confines of the role.
  • Undertake any additional reasonable duties as required by 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 corresponding to forms provided and review internal consistency of forms collected (e.g. incomplete or missing sections).
  • Verify declared status on the 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 the reportable/nonreportable status of each investor based on whether the investor or their Controller is a 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 is met.


    Must Have

    • Bachelor’s degree in Law, Accounting, Finance, or equivalent fields
    • At least 1-3 years experience in KYC/AML roles, Client Onboarding, Periodic Risk Reviews, and Remediation Processes,  AML/CFT Compliance, or related function
    • Proficiency in English written and verbal communication
    • Ability to work under pressure in a fast-paced environment
    • Amenability to work on a graveyard schedule following the US time zone (9 pm to 6 am MNL)

    Nice to have

    • Strong MS Office skills (especially Excel)
    • Professional Certifications in Anti-Money Laundering (such as ICA or ACAMS) are not mandatory but would be an advantage
    • Some knowledge of 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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