Transfer Agency Oversight Analyst - 12 month FTC - eFinancialCareers : Job Details

Principal Responsibilities

• 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. 

Skills required

• 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