Joel Jose
Investor Services
Krakow
Summary
An Investor Services Specialist with over 2 years of experience excelling in managing investor trades and ensuring proper review of documentation with anti-money laundering regulations. Skilled in reviewing documentation and maintaining accurate records to meet regulatory deadlines. Proficient in communicating with investors and clients regarding investment activity and distributing fund performance reports as per client instructions. Demonstrated ability to foster strong client relationships through effective communication and exceptional service delivery. Committed to personal development and training, with a track record of contributing to the training and development of team members. Passionate about staying updated with industry trends and regulations to provide informed support and contribute to the success of the organization.
Overview
8
8
years of professional experience
Work History
Investor Services Senior Specialist Associate 2
State Street
09.2024 - Current
- Maintained knowledge of the FATCA & CRS regulatory and compliance environment
- Conducted research to resolve internal queries
- Reviewed registered tax documentation for a variety of clients and ensured it met regulatory standards
- On a daily basis worked closely with and supported senior management ensuring the smooth running of processes and adherence to procedures and processes
- Responsible for requesting CDD and EDD documentation from clients,sourcing other CDD documentation independently from various websites.
- Reviewing and tracking CDD documentation for all customers in line with applicable AML Policies and Procedures.
- Screening clients' names and other parties against various sanctions lists,
- Completing Anti-Money Laundering risk assessment using corporate compliance tools prior to account opening and on an on-going basis,
Investor Services Specialist Associate 1
State Street
09.2022 - 09.2024
- Followed all company policies and procedures to deliver quality work.
- Developed strong client relationships through consistent communication and attentive service.
- Improved investors satisfaction through proactive problem-solving and effective communication.
- Meticulous Scrutiny of Documentation.
- Thorough Review of Customer Due Diligence (CDD) Materials.
- Adherence to AML Policies & Procedures.
- Screening Individuals and Associated Parties.
- Utilization of Corporate Compliance Tools for AML Risk Assessments.
- Completion of Relevant Forms- Filling out necessary forms and documentation required for conducting AML-related activities.
- Execution of Enhanced Due Diligence (EDD).
- Prompt Escalation of Identified Issues: Immediately escalating any identified AML-related issues or suspicious activities to appropriate compliance teams or regulatory authorities.
- Collaboration with Compliance Teams.
Investor Services Intern
State Street
04.2022 - 09.2022
- Reviewing and Tracking CDD Documentation: Assisted in the review and tracking of Customer Due Diligence (CDD) documentation for both entities and individuals. This likely involved examining various documents such as identification records, business licenses, and ownership structures to ensure compliance with regulatory requirements.
- Monitoring Negative News Sources: Contributed to monitoring negative news sources as part of enhancing risk assessment processes. This involves keeping track of news articles, regulatory alerts, and other sources of information to identify any adverse information related to customers or their associated parties.
- Assisted in screening customers (both individuals and entities) as well as Ultimate Beneficial Owners (UBOs) against global sanctions lists and politically exposed persons (PEP) lists. This is critical step in identifying and mitigating potential AML risks associated with customers and their beneficial owners.
Sales Executive
Ambadi Cashew Factory
01.2018 - 07.2019
- Achieved sales goals and service targets by cultivating and securing new customer relationships.
- Promoted and marketed various types of premium cashews including W-210, W-240, and W-320, highlighting their exceptional taste, versatility.
- Established and maintained positive relationships with vendors to determine product availability and quality.
Warehouse Intern
Cosmos Sports World LLP
05.2017 - 08.2017
- Streamlined loading/unloading processes by coordinating with transportation partners for smoother logistics operations.
- Handled delicate items with care during packaging process, minimizing breakage or damage incidents while in transit.
- Assisted in maintaining clean and organized work areas throughout facility, promoting efficient workflow among team members
Education
Bachelor's - International Business Management
Akademia Ekonomiczno-Humanistyczna W Warszawie
Warsaw, Poland11.2022
Diploma - Logistics And Shipping Management
London College of Business And Finance
Kerala, India08.2017
Skills
- Customer Relations
- Expert Problem Solving
- Investor Services Experience
- Documentation Management
Languages
Malayalam
Native language
English
Proficient
C2
Polish
Elementary
A2
Timeline
Investor Services Senior Specialist Associate 2
State Street
09.2024 - Current
Investor Services Specialist Associate 1
State Street
09.2022 - 09.2024
Investor Services Intern
State Street
04.2022 - 09.2022
Sales Executive
Ambadi Cashew Factory
01.2018 - 07.2019
Warehouse Intern
Cosmos Sports World LLP
05.2017 - 08.2017
Bachelor's - International Business Management
Akademia Ekonomiczno-Humanistyczna W Warszawie
Diploma - Logistics And Shipping Management
London College of Business And Finance
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