Team Lead

As the Team Lead of Distribution Operations team, you will oversee a team responsible for managing AML/KYC and distributor due diligence processes for wholesale and institutional clients of our EMEA-based asset management business. You will work in close partnership with the EMEA Client Management team and act as a key liaison between internal stakeholders and clients, ensuring client-driven activities, processes and outcomes result in an excellent service and experience for our clients.

Your primary responsibility will be to ensure we have sufficient information and controls relating to investors in and distributors of our EMEA-based products and strategies, to allow us properly to discharge both our fiduciary duties to our investor universe and our regulatory obligations such as Consumer Duty. You will do this principally by sourcing, analyzing and maintaining relevant client information for operational and regulatory purposes, in many cases working directly with clients.

In addition, you will work closely with various other internal functions such as Client Service Ops, Financial Crime Prevention, Global Contract Office and others based both in India and in EMEA. As part of this role, you will be expected to identify opportunities to improve these processes and work with internal teams to deliver these improvements. As the team lead, this role requires strong leadership, stakeholder management, and subject matter expertise in AML/KYC and fund distribution operations.

Key Responsibilities:

Team Leadership & Oversight

• Lead and mentor a team responsible for managing AML/KYC and distributor due diligence processes.
• Allocate tasks, manage workloads, and ensure timely delivery of team objectives.
• Provide guidance and support on complex cases, escalations, and regulatory interpretations.
• Foster a collaborative and high-performance team culture.

Operational Excellence & Compliance

• Oversee the accurate classification of new relationships and ensure distributor status is correctly established.
• Ensure AML/KYC and Distributor Due Diligence processes are executed in line with regulatory requirements (e.g., CSSF 18/698, FCA Consumer Duty).
• Escalate to Client Managers where necessary to ensure appropriate client engagement.
• Escalate to Financial Crime Prevention and or Distribution & Branch Oversight as necessary to clarify AML/KYC Distributor Due Diligence requirements and to identify potential alternative types of documentary evidence to meet requirements.
• Review and approve documentation and assessments before submission to internal stakeholders or regulators.
• Maintain high standards of data accuracy and documentation in systems such as Salesforce and internal repositories.

Stakeholder Engagement

• Act as the primary point of contact for internal teams including Client Service Ops, Financial Crime Prevention, and Global Contract Office.
• Escalate and resolve issues with appropriate internal teams and governance bodies.
• Represent Distribution Operations in cross-functional meetings and committees.

Monitoring & Governance

• Ensure timely execution of periodic due diligence and AML/KYC refreshes.
• Monitor trigger events and oversee appropriate responses and documentation.
• Manage exemptions, extensions, and risk acceptance processes, ensuring governance protocols are followed.
• Support branch oversight activities including committee coordination, reporting, and action tracking.

Process Improvement & Controls

• Identify and lead initiatives to improve process efficiency, automation, and risk mitigation.
• Drive continuous improvement through data analysis, insights, and stakeholder feedback.
• Oversee quality control checks and ensure adherence to internal governance standards.

Qualifications:

Required Qualifications

• Bachelors degree in Finance, Business Management, or related field.
• 7-10 years of relevant experience, including 2+ years in a leadership or supervisory role.
• Strong understanding of AML/KYC regulations and distributor due diligence in asset management.
• Excellent communication and stakeholder management skills.
• Proven ability to lead teams and manage complex operational processes.
• Strong analytical, decision-making, and problem-solving skills.
• Proficiency in tools such as Salesforce, Excel, Outlook, and Teams.

Preferred Qualifications

• Experience in cross-border fund distribution and asset management operations.
• Familiarity with regulatory frameworks such as CSSF 18/698 and FCA Consumer Duty.
• Experience in process improvement, automation, and data-driven decision-making.
• Exposure to governance and committee-level reporting.