Transfer Agency Oversight Analyst

3 weeks ago

London, United Kingdom Mayford James Full time

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

 

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