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Transfer Agency Oversight Manager

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

Key Responsibilities

  • Manage the oversight of the Transfer Agency operations performed by outsource partners. This may include:
    • Ensure first line monitoring is conducted in accordance with the third partys SLA to ensure that services are provided to agreed standards and in conformance with regulations
    • Ensuring site visits to assess the suitability of each suppliers process, controls and training are conducted as required
    • Oversee the validation of the AMC Rebate & Unit Trust Renewal commission processes
    • Oversee the distribution and statement processes completed on allproducts
    • Deputise for other TA Operations Managers and Head of TA Operations as required
  • Oversee the performance of certain in-house operational Transfer Agency functions. This may include:
    • Taishin processing;
    • CASS processes, to include;
      • review of daily client money account reconciliations
      • monthly CMAR reporting
      • provision of data and management information to the CASS Forum
      • due diligence of bank accounts used for client money and to ensure acknowledgement letters accurately reflect the account status
    • monitoring the performance of third parties in relation to CASS
    • maintaining procedures relevant to the processes undertaken in the team
    • co-ordinating the resolution of errors, identifying root causes and assessing where process or control improvements can be made
    • compiling data and draft commentaries required to complete board and management reporting
  • Completion and oversight of the calculation, validation and payment of rebates
Desired Skills / Experience
  • Proven experience developing and managing relationships with internal contacts and external suppliers and clients.
  • Proven experience working to tight and moving deadlines within a pressurised environment.
  • Strong analytical skills.
  • Working as part of a team to meet common objectives.
  • Good working knowledge of mutual fund product administration.
  • Good working knowledge of mutual fund processes and the regulatory environment.
  • Ability to identify process and service improvements.
  • Ability to investigate issues and proactively problem solve.
  • Strong written and verbal communication skills.
  • A flexible and team orientated approach to work.
  • Intermediate Word and Excel.
  • Ability to manage expectations of others.
Additional Role Details
  • This role is subject to the Conduct Rules set by the FCA.

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