Pinnacle Fund Services

Financial Crime

• Perform remediation of historical AML/KYC files in accordance with the relevant regulatory requirements
• Support onboarding processes by reviewing and validating investor documentation to ensure all AML/KYC requirements are complete, accurate, and fully satisfied prior to account opening
• Perform risk assessment and classify investors in line with internal policies
• Identify and escalate deficiencies, discrepancies, or potential risks in client documentation
• Liaise with clients, investors, and internal stakeholders to obtain missing or outstanding documentation for subscriptions and onboarding
• Maintain up-to-date investor records within internal systems following validation
• Conduct periodic KYC reviews and refreshes for existing investors
• Contribute to improving onboarding workflows and controls
• Act as a point of contact for AML-related queries from clients and internal stakeholders
• Review tax forms from investors and update systems with annual reporting data
• Prepare detailed FATCA/CRS packages for multiple funds in accordance with applicable regulatory requirements

AML Specialist

IT Support

• Own the controls framework, including control design standards, documentation expectations, and testing methodology.
• Prepare and present an annual internal audit plan to Senior Management for approval.
• Develop and maintain internal audit procedures to ensure that best practices are adhered to.
• Propose audit recommendations to address control deficiencies and discuss with relevant department leaders.
• Monitor the implementation of any audit recommendations.
• Manage the annual SOC audit process end-to-end as the primary liaison with external auditors.
• Perform the annual AML audit plan, including scope, testing approach, documentation, and final reporting.
• Assist with the development and implementation of new policies, procedures, and standards.

AML Specialist

Internal Audit Manager