Transfer Agent Oversight Manager

Client Service, Operations and Issue Resolution:

• Lead the investigation and resolution of day-to-day operational queries, issues, and incidents from the TA’s, ensuring appropriate ownership, escalation, and follow-through.
• Oversee key TA operational activities and risks, including dealing, settlements, registrations, cashflow-related matters, and associated controls, as applicable across the oversight model.
• Support high-quality client outcomes by identifying service pain points, recurring issues, and drive opportunities to improve the end-investor and intermediary experience.

Oversight Framework, Risk and Controls:

• Execute and enhance the TA Oversight framework, conducting ongoing monitoring activities to assess service quality, operational effectiveness, and compliance with agreed service criteria.
• Complete oversight activities linked to Client Money obligations, including bank reconciliation oversight and timed transfer modelling, ensuring robust governance and timely escalation where required.
• Support the oversight of breaches, complaints, errors, and incidents, including logging, root cause analysis, tracking remedial actions, and coordinating with relevant stakeholders such as CASS Oversight, Compliance, Legal, and Risk.
• Identify control weaknesses, operational risks, and process gaps, and take a leading role in driving preventative and corrective actions.
• Produce clear and insightful oversight reporting and management information for key stakeholders, governance forums, and management teams on a monthly and quarterly basis.

Governance and Stakeholder Management:

• Build and maintain strong working relationships across a broad stakeholder group, including Operations, Product, Distribution, Compliance, Legal, Risk, CASS Oversight, Audit, and external vendors.
• Represent TA Oversight in relevant internal governance forums, committees, and working groups, providing subject matter expertise and clear reporting on key themes, risks, and developments.
• Work closely with colleagues across EMEA and APAC, to promote consistency, best practice, and effective cross-border oversight.
• Act as a trusted partner to stakeholders by communicating complex operational, regulatory, and service matters clearly and effectively to different audiences, including senior management.

Change Management and Continuous Improvement:

• Take a leading role in change initiatives impacting TA Oversight, including regulatory developments, operating model enhancements, control improvements, and process simplification.
• Identify and drive opportunities to improve oversight processes, increase efficiency, strengthen governance, and enhance service quality.
• Create, maintain and enhance written procedures and team documentation for key oversight activities, ensuring they remain accurate, practical, and fit for purpose.
• Support ad hoc projects requiring TA Oversight expertise, contributing both operational knowledge and strategic perspective.

AI and Innovation:

• Solution mindset to navigate service challenges and drive scale operations
• Champion the practical use of AI and data-driven tools to improve oversight activities, streamline workflows, enhance reporting, and support better decision-making.
• Identify opportunities to apply AI responsibly in areas such as trend analysis, issue tracking, management information, process optimisation, and documentation.
• Bring a mindset of innovation and curiosity, using technology to challenge existing ways of working and improve the effectiveness of the TA Oversight function.

PERSONAL ATTRIBUTES / SKILLS / QUALIFICATIONS

• Significant experience (10+ years) working within asset management, with strong exposure to fund operations, Transfer Agency, and/or vendor oversight.
• Excellent working knowledge of Transfer Agency practices and associated operational processes.
• Good understanding of Client Money regulations and related oversight requirements.
• Strong understanding of UK, Luxembourg, and Irish fund structures, fund distribution models, and relevant regulatory environments.
• Good understanding of the Luxembourg and Ireland Management Company operating model, including its governance requirements, oversight responsibilities, and the practical nuances of working within ManCo structures.
• Demonstrated ability to take ownership, lead initiatives, and operate effectively in a role with broad responsibility and visibility.
• Strong relationship management skills, with the ability to build credibility and maintain effective partnerships with internal stakeholders, senior management, and third-party providers.
• Excellent written and verbal communication skills, with the ability to articulate complex issues, risks, and solutions clearly and appropriately for different audiences.
• Strong analytical and problem-solving skills, with high levels of accuracy and attention to detail.
• Organised and proactive, with the ability to prioritise effectively, manage competing demands, and deliver to a high standard.
• A continuous improvement mindset, with the confidence to challenge constructively, simplify processes, and drive better outcomes.
• Forward-thinking and adaptable, with a strong interest in innovation and a practical approach to using AI and emerging technologies in day-to-day work.
• Collaborative, energetic, and inquisitive, with a genuine desire to improve the control environment, service quality and overall client experience.

Work Flexibility:

This position is eligible for hybrid up with up to one day a week at home.