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UK Transfer Agency, Oversight Consultant

3 months ago

London Central, United Kingdom Northern Trust Full time

About Northern Trust:

Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.

Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.

Role/Department:

The Oversight teams main purpose is to maintain end to end oversight of all key touch points in line with regulatory guidance. The key roles and responsibilities will be based on "Risk-based" methodology to ensure that the correct level of oversight and due-diligence is performed on the outsourced, processing locations. The team ensures KPIs are maintained, issues log and escalation of issues or process gaps.

The oversight will be of the processing location (Tier 3 India) and oversight location (Tier 2 Limerick). All investor/client instructions received from platforms, institutional and retail investors are processed accurately, within SLA (Service Level Agreements), VP (Valuation Points), and Regulatory and Client requirements and processed operated in line with controls.

The key responsibilities of the role include:

  • To champion the oversight model and growth of London as Oversight location and the benefits of the Oversight team, actively participate in the development and success of the team.
  • To work with the team, internal departments and group projects area on any allocated projects.
  • Work with the team to ensure oversight is evidenced of offshore locations, take part in annual DD reviews and SLD reviews where required.
  • Take responsibility to Identity and undertake own training to ensure you can keep up with processes and controls and train and support partners where required
  • Regularly review the operating effectiveness of key processes/functions/controls within Transfer Agency, specifically where relating to the protection of client money and custody assets, and suggest enhancements.
  • Build and maintain strong relationships with Business', CASS office, Compliance, Audit functions and other key partners including onshore and offshore teams
  • Compile and produce MI representing the monthly outcomes of teams Oversight sampling, ensure this can be produced and continuously improved dependent on outcomes of testing to ensure MI reflects trends and outcomes that need to be highlighted or escalated
  • Attend, and present/chair when required, Monthly Oversight/FLOD meetings
  • Ensure appropriate records are retained to evidence the oversight methodology used for sample selection
  • Complete regular oversight review checks and ensure controls outlined are working as expected to prevent errors
  • Identify any key trends from the work you and the team are undertaking
  • Ensure any proposed preventative actions are put into practice and are working as expected
  • Ensuring compliance with all applicable regulations (e.g. AML + CASS), UKTA are operating in line with internal Polices, Standards and Risk Appetite and are Complying with the regulatory regime in which Northern Trust and Transfer Agency operates as appropriate to the above role.
  • Fulfill additional, relevant tasks appropriate to the role and business requirements

Skills/Qualifications:

  • Demonstrate a detailed understanding of end to end Operational processes in Registration, Dealing, Box, Settlements, Distributions /Tech teams
  • Strong excel/PowerPoint skills to prepare and innovate MI and teams trackers
  • Proven strong communication skills and ability to present to a variety of audiences
  • Demonstrate a good understanding of UK Transfer Agency functions, roles & responsibilities
  • Demonstrate a good understanding of the CASS regulations and knowledge and understanding of FCA / HMRC regulatory Environment
  • IAQ Merit award or working towards this qualification
  • General OEIC/ISA/ACS/PAIF Admin experience desirable and Extensive knowledge of collective investment scheme administration
  • Prior experience in audit / assurance (highly beneficial)
  • Strong organisation skills in order to support the due diligence methodology.
  • Ability to review and resolve complex issues working under pressure meeting challenging deadlines
  • Excellent planning and organisation skills with a flexible approach to work
  • Ability to work on own initiative and multi task
  • Ability to work to strict set deadlines
  • Attention to detail and strong accuracy
  • Analytical skills are required to research and resolve enquiries
  • Good communication skills
  • Customer Service experience

Working with Us:

As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas.

Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve Join a workplace with a greater purpose.

We'd love to learn more about how your interests and experience could be a fit with one of the world's most admired and sustainable companies Build your career with us.

Reasonable accommodation

Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at

We hope you're excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people.

Talk to us about your flexible working requirements and together we can achieve greater.

For further information, and to apply, please visit our website via the "Apply" button below.