Transfer Agency Registration /AML

Job Description

Who we are looking for

At this level you will be required to demonstrate a comprehensive knowledge of the Funds Industry and take a lead role with the Dealing Services Management team in the management and strategic development of the department. You will be expected to direct and plan the department’s activities with a major focus on department strategy, change management, resource planning and development, client relationship management and risk reduction.

Why this role is important to us

The team you will be joining is a part of State Street Global Services (SSGS). SSGS gives asset owners and managers access to the essential financial tools they need to deliver effective investment solutions. From core custody, accounting, fund administration and shareholder recordkeeping, to complete operations solutions and servicing for alternative assets like OTC derivatives, private equity and real estate, SSGS’ tools help our clients make better investment choices and act on growth opportunities.

Join us if making your mark in the financial services industry from day one is a challenge you are up for.

Job Duties and Responsibilities

LEADERSHIP

• Responsible for the setting and achievement of specific department performance targets and objectives

• As a member of the management team lead, direct and manage the department activities with keen focus on delivering superior services, specifically to our Trailer Fee & Rebate clients and their Brokers.

• Exercise operational oversight within the department and make sound operational decisions

• Contribute to the development of the organisation in terms of financial planning, business strategy, service offerings and HR policies

CLIENT RELATIONSHIP

• Ownership, management and development of strong client relationships

• Handle and resolve complex or unusual operational and managerial problems that are referred from above and below

• Ensure that procedures, policies and processes are adhered to so that a high quality service is delivered to the customer.  Drive procedural changes to improve performance of the department or of related business areas

• Continually develop expertise in all area of the business

• Responsible for the ownership and management of vendor, audit and regulatory body relationships, as required

RESOURCE MANAGEMENT

• Identify and secure resources required by the department and ensure effective utilisation

• Ensure that Transfer Agency is properly resourced both in terms of people and technology whilst complying with agreed budgetary guidelines

• Actively support the overall organization and Transfer Agency Training Plan

• Assist more senior colleagues and deputise in their absence

• Utilise management information to assist in managing both clients and resources

• Focus on development opportunities for your direct reports and ensure a focus on non-operational management within the department

• Using corporate PPR tools, actively participate in the performance appraisal process and monitor overall timeliness of completion for the entire team with your direct reports

RISK & REGULATORY

• Ensure compliance with regulatory requirements and with the relevant short, medium and long-term goals, objectives and values of the organization

• Promote risk awareness, assessment and control within the department

• Drive the development and implementation of appropriate procedures to meet internal control and external compliance/regulatory requirements

• Understand the risk environment within the department and manage appropriately

COMMUNICATION

• Provide regular feedback to managers and more senior colleagues with regard to Transfer Agency operations

• Lead and contribute to operational, client, risk, audit and regulatory meetings as required

• Lead and contribute to your chosen Focus Group

CHANGE MANAGEMENT

• Create an environment that is flexible and adaptable and be a champion of change

• Initiate and oversee tasks within a continuous improvement drive to ensure that the Department is efficient and seen as customer and quality driven

• Provide support during the implementation of change

• Ensure participation in the completion and implementation of department wide projects as required and lead local team initiatives

WHAT WE VALUE

These skills with help you succeed in this role

• Excellent administrative, organisational and business support skills, with the ability to multi-task and to work calmly under pressure.

• SME knowledge of Trailer Fees, Rebates and Dividends and to oversee effectively.

• Client focused with a proven track record of delivering superior client service – specifically to our trailer fee and rebate clients.

• Strong people management skills with a proven track record for developing and retaining staff.

• Excellent working knowledge of MS Office suite including Word, Excel and PowerPoint.

• Strong written & verbal communication skills.

• Possess excellent organisational, planning and co-ordination skills.

• Ability to work accurately to tight deadlines.

• Proactive and able to work independently and as part of a team.

Education & Preferred Qualifications

• Business related degree preferred

• Comprehensive procedural, technical and product knowledge of the Transfer Agency business is required. This should be complemented with a strong understanding of Trailer Fees & Rebates, Dividends, Fund Accounting, Custody and Regulatory background to Funds Industry.

• Typically, candidate will have significant experience in a similar environment including at least several years in a management capacity.

Core Competencies

• Accurate and Precise

• Team Oriented

• Organised

• Personable

• Flexible

• Self-reliant

• Enthusiastic

• Excellent communications skills

About State Street

Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.

We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.

As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.

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