Senior Manager, Transaction Monitoring & Investigations Specialist

Overview

Senior Manager, KYC Specialist responsible for execution, review and oversight of Financial Crime due diligence and screening activities across the Global Asset Management business, working within the First Line of Defence.

What you'll do

• Conduct AML, KYC/D due diligence activities for new and existing customers, including distributors, segregated mandate clients and other Asset Management relationships, in line with established Financial Crime policies, procedures and regulatory requirements.
• Perform in-depth customer risk assessments and complete customer due diligence reviews by analyzing customer information, ownership structures, supporting documentation and relevant risk indicators. Checker activities where needed.
• Execute, perform Checker and oversight activities on Name Screening (PEP, Sanctions, Adverse Media), Transaction Monitoring, KYC/D, periodic reviews, trigger event reviews and ongoing monitoring activities (specific emphasis on Private and Public Markets), ensuring customer records remain accurate, current and compliant with Financial Crime standards.
• Provide expert coverage on Private and Public Markets KYC and, on an exception basis, Transaction Monitoring and Investigations coverage for the Asset Management space.
• Provide oversight of screening and KYC/D activities delivered by Service providers/TPAs where applicable, monitor service delivery performance, review referrals, challenge exceptions, support issue remediation, and maintain robust audit trails of risk-based decisions.
• Maintain clear, structured, and audit-ready case documentation, including rationale, evidence, and outcomes, aligned with FCA and internal quality standards.
• Collaborate on development of Asset Management-specific Screening, KYC/D and TM typologies and scenarios.
• Collaborate on transformations and efficiency initiatives, supporting the adoption of automation and AI-enabled solutions within TM and fraud alert processes.
• Create and maintain operating manuals and SOPs supporting consistent execution.
• Actively contribute to audit readiness in internal reviews, inspections and audits.
• Maintain awareness of regulatory developments, emerging financial crime risks and industry best practice, contributing to continuous improvement initiatives.
• Contribute to team objectives by supporting workload management, conducting training and troubleshooting, sharing knowledge, identifying process improvements and maintaining effective control execution across the Financial Crime Operations function.
• Work closely with Financial Crime Operations colleagues globally and key stakeholders to promote consistent control execution and effective risk management.

What you'll need

• 9 to 12 years' experience in Financial Crime / AML.
• 6+ years in KYC/D, Due Diligence (CDD, SDD, EDD), Transaction Monitoring and investigative roles, with hands-on exposure to other spectrums of KYC and Financial Crime operations, specifically in the Private and Public Markets space (Asset Management or Asset Servicing space preferred).
• Solid track record in handling complex, high-risk investigations, contributing to transaction monitoring framework enhancements.
• Strong working knowledge of UK and EU regulations, with practical application experience within KYC/AML and TM.
• Demonstrated capability in technical uplift and consistent investigative standards.
• Exposure to global TM operating models, contributing to MI and dashboards.
• Hands-on experience in onboarding complex entities including funds, trusts, SPVs and multi-layered ownership structures.
• Familiarity with TM, KYC and screening platforms such as Actimize, Napier, Fenergo, Fircosoft, World-Check, or equivalents.
• Good understanding of the regulated financial services landscape and how businesses such as M&G operate within it.
• Graduate degree in Science, Commerce, Management, Business Administration or Law (e.g. BSc, BCom, BMS, BBA, LLB).

Nice to have

• Professional certifications such as ICA qualifications or CAMS.

Details

• Location: Mumbai, India.