- Requesting appropriate AML documentation from investors in MUFG administered funds;
- Liaising with investors and clients through written communication on a periodic basis until all appropriate AML documentation has been obtained;
- Maintaining an overview of complete and incomplete AML records and ensuring action is taken to complete all AML records;
- Timely follow up on pending AML requests keeping compliance with MUFG escalation and follow up procedures;
- Maintenance and safe keeping of AML files and trackers in line with MUFG’s data policies
- Liaising with internal Investor & Client Operations teams on a regular basis and responding to AML related queries
- Ensuring queries and emails, both internally and externally, are responded to in a timely and accurate manner;
- Clearing and/or investigating/verifying possible matches as generated by MUFG application used to screen investors and associated parties against sanctions list, adverse media and PEP association lists
- Handling and escalating complex queries and complaints in accordance with company policy;
- Preparing investor files for review by the Senior Manager, Compliance or MLRO;
- Any other ad-hoc duties, as requested;
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