Multi-functional role that includes overseeing external Transfer Agent operations, Intermediary oversight and sales data reporting for open end mutual funds as well as providing operational support to internal groups and institutional open ended mutual fund shareholders.
Transfer Agent Oversight
- Responsible for the day-to-dayrelationship with firm third party Transfer Agent (TA), acting as a primary contact for both internal and external parties.
- Investigate and resolve day-to-day operational queries, issues and incidents relating to TA functions.
- Maintain and update written procedures and develop process improvement recommendations to enhance internal and third party workflows.
- Assist the TA in servicing institutional investors trading open ended mutual funds.
- Assist with the review and onboarding of new intermediary relationships.
- Perform due diligence reviews and interact with intermediary partners to ensure services are in line with fund offering documents and the terms outlined in distribution/selling agreements.
- Create and update Intermediary risk profiles, draft reports and participate in monthly Intermediary
Oversight Group meetings.
- Develop and/or oversee processes to improve collection, retention and reporting related to intermediary invoices and shareholder servicing fees.
- Lead or contribute to projects that support/improve intermediary and vendor operations.
Data Reporting and GRM Support
- Responsible for oversight and management of Fund sales data in MARS (SalesFocus) and SalesForce
- Support Global Relationship Managers with customized sales data reports and addressing ad-hoc queries.
- Review and implement new proposals designed to provide greater detail on Fund sales data.
- Bachelor’s degree required
- Recent Service Provider / Intermediary oversight experience - could be within Fund Accounting, Custody, or Middle Office operations (ideally within TA).
- Minimum 2 years financial services experience
- Proficiency with Microsoft Office tools.
- Experience with SalesForce is a plus.
- Outstanding initiative and a strong work ethic.
- Excellent interpersonal, written and verbal communication skills.
- Team-oriented and must possess strong integrity and professionalism.
- Strong problem-solving and analytical skills.