- Responsible for supporting the overall relationship with third party Transfer Agents and related bank account providers, acting as a primary contact for both internal and external stakeholders.
- Responsible for the investigation and resolution of day-to-day operational queries, issues, and incidents
- Execute on activities from the designed TA Oversight framework and conduct ongoing monitoring activities to ensure compliance with agreed service criteria. Communicate the monthly/quarterly oversight findings to key stakeholders and management teams.
- Complete daily, weekly, monthly tasks to ensure compliance with Client Money Obligations (Bank Reconciliation Oversight, Timed Transfer Modelling, Resolution Pack Review)
- Conduct service review meetings and support due diligence on the service providers in conjunction with Risk and Compliance functions. Formulate, develop, and negotiate service level documents with the service providers.
- Support the Breaches & Complaints processes (including logging breaches, performing root cause analysis, ensuring remedial actions are completed & working with internal stakeholders such as CASS Oversight, Compliance, Legal to ensure remedial actions are appropriate)
- Participation in ad-hoc projects requiring TA Oversight support and expertise.
- Review and interrogation of Management Information relating to the performance of the service providers.
- Maintain written desktop procedures for key activities completed within the team.
- Assist in process reviews & drive efficiencies through continuous improvement.
- 4+ years' experience working in an Asset Management with fund operations and/or vendor oversight experience.
- Solid working knowledge of Transfer Agency practices
- Good understanding of Client Money Regulations
- Good understanding of the UK/Luxembourg fund distribution landscape and regulatory environment
- Problem solving oriented approach with high level of accuracy and attention to detail.
- Excellent communication and interpersonal skills with ability to communicate with all levels of a diverse range of staff, including senior management.
- Good understanding of UK / Luxembourg fund structures
- Forward thinking mindset with a proactive approach
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Transfer Agency Oversight Specialist 12 months FTC - London Area, United Kingdom - Mayford James
Description
Our client a leading Asset Manager require an experienced Transfer Agency Oversight Analyst. You will be responsible for supporting the overall monitoring and management of the performance of third-party Transfer Agents and Bank Account Providers across the UK and Luxembourg. The ideal candidate will execute and provide support on internal activities and initiatives designed to improve the overall process and ensure a high-quality client experience.
Principal Responsibilities
Skills required