Compliance & Operational Controls Associate




  • Execution of key risk controls in relation to the Transfer Agency’s activity;
  • Execution of controls related to AB’s account opening process, including the verification of account opening documentation in relation to regulatory obligations, such as AML/KYC, FATCA and CRS;
  • Performing controls related to the integrity of the Transfer Agency’s register;
  • Execution of relevant customer account name and transaction screening processes in order to prevent and deter money laundering, terrorist financing and other financial crime, such as fraud;
  • Application of surveillance procedures which seek to detect excessive or short-term trading in AB funds;
  • Providing support to the AB Lux Compliance Officer relating to certain reporting to the local Financial Regulator;
  • Identification of control gaps, and implementation of new Key Risk Controls;
  • Preparation of statistical reporting on Key Risk Controls;
  • Escalation of any irregularities, aged items or high risk items;
  • Contribution to the improvement of daily operational processes and the implementation of new projects and initiatives;
  • Participation in regular reviews of relevant working procedures;
  • Based upon experience, presentation of facts and data to Senior Management.

The above duties and responsibilities provide a basic outline of the functions of the post. However by necessity, these duties must be approached with flexibility to accommodate the changing demands of the services provided by ABIS. The post holder will be expected to adapt to changing circumstances and ABIS therefore reserves the right to assign other duties.


  • Has sound knowledge of general account registration tasks in a Transfer Agency;
  • Has successfully worked in a quality assurance, quality control or similar role;
  • Has profound knowledge of Anti Money Laundering principles;
  • Has an understanding of the basic concept and mechanisms of FATCA and CRS;
  • Has excellent Excel knowledge, and good knowledge of Microsoft Office products;
  • Has a strong attention to detail, and a constant focus on quality and client service;
  • Seeks to develop own skills and capability on a self-motivated basis;
  • Is an excellent team player, and flexible;
  • Is eager to learn;
  • Has solid analytical and organizational skills;
  • Has a strong risk mind-set;
  • Has the ability to demonstrate initiative on general and specific tasks and can work independently and interact well with both team members and internal customers.

Relevant Work experience: 2 to 3 years

Minimum Career level: Experienced in a relevant role (non-Manager)

Education Level: Bachelor’s Degree

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