Senior Transfer Agency Specialist - UK

London, United Kingdom
£50,000-£90,000 per annum
05 May 2022
04 Jun 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Operations Leadership and Management
  • Ensure proper management of resources and effective, efficient operations in accordance with defined staffing, workflow and delivery.
  • Provide strong hands on, day-to-day leadership and management presence.
  • Lead by ensuring that operations team leaders and staff clearly understand and embrace the Company's vision, mission and objectives.
  • Work collaboratively with other senior executives to ensure that the company maximizes operating leverage through performance improvements, work flow efficiencies and system enhancements.
  • Oversee the development of business rules, processes and audit exception arguments.
  • Lead the development and implementation of key performance standards and measures; identify and employ business process improvement strategies and tactics to ensure external and internal KPI objectives are met.
  • Lead the development and implementation of key quality assurance standards and measures; create and report on key quality assurance indicators (KQIs) at established intervals; identify and employ quality assurance improvement strategies and tactics to ensure external and internal KQIs objectives are met.
  • Manage and plan for company growth to ensure adequate staffing (given training lead times) to meet Client expectations and service level agreements (SLAs); develop staffing models; establish standards; set clear expectations; motivate leaders and staff to achieve goals.
  • Work with the management to develop and implement an Operational Team Training Program designed to ensure that staff have the knowledge and expertise to deliver the Company's work products.
  • Ensure training and evaluation of key operations team leaders.
  • Work with the Head of Administration or Senior TA Manager to develop and implement appropriate rewards, recognition, coaching and corrective practices to align staff with Company goals; support an open door policy among all staff.
  • Create and maintain all operations policies, procedures, workflows and reports to the Head of Administration or Senior TA Manager
  • Oversee all the administration and banking functions, departmental budget development, the provision of relevant information for the financial statement preparation and analysis.
  • Ensure compliance with all the regulatory requirements.
  • Work with the Head of Administration or Senior TA Manager to manage and plan for all the systems upgrades and resulting update in the process and procedures, ensure that staff are trained adequately and change management processes are followed.

  • Collaborate with Technology department to develop, test and implement system and business processes enhancements.
  • Participate and contribute to any special projects as assigned.


Client administration
  • Ensure that daily application processing, reporting, reconciliations and documentation are completed accurately and timeously.
  • Ensure adequate management of client files storage, archiving and easily accessible and retrievable.
  • Reconciliation of subscriptions, redemptions and client money of client funds and allocation of correct units to clients.

Regulatory and compliance
  • Ensuring AML and KYC compliance.
  • Coordinating communication in conjunction with the Compliance Department with regulators and tax authorities.
  • -Reporting to FCA, HMRC and Depositary, Data providers, Wealth management platforms
  • Ensuring that policies and procedures are in line with latest legislations and industry best practices.

  • Generation of annual tax certificates for all shareholders.
  • Reporting to customers (account statements, etc.)
  • Compilation of reports and statistics including flows, revenue and IFA fees.
  • Preparation of regular management reports.
  • Presentation of reports to the Chief Administration Officer and Executive Committee.
  • Liaising with the depositary and custodians of the funds.

  • Setting up performance criteria for staff and evaluation of staff.
  • Management and motivation of staff.
  • Training, development and mentoring of staff.
  • Attending to issues around employee performance management including submission of incident reports.
  • Assigning tasks and setting up structures in the department.
  • Maintaining a positive work environment.

Relationship management

Maintain a high level of service delivery to clients.
Manage interaction with other administrative departments in the business.
Manage the relationship with external parties such as Wealth management Platforms and IFA.
Manage relationship with other service providers of the department.
Liaising with the portfolio administrators of the funds.
Ensure effective interaction with clients, staff and management.

Management of the administration and payments Workflow design and implementation.
Managing specific projects within the department.
Designing and implementing business strategy and plans.
Implementation of Process and System controls.
Ensure that department policies and procedure manuals are regularly updated and that employees are trained after.

  • Bachelor Degree in Accounting or any other recognized relevant qualification.
  • A certificate in Investment Fund Services and or Professional Certificate in Compliance is prerequisite for this role.

Experience & Skills
  • 5-8 years experience in the financial services industry managing transfer agency function in Mutual Funds.
  • Knowledge in Flexcube Investor Services application will be an added advantage.
  • Expert knowledge on Microsoft Office suite.
  • Excellent report writing and hands on Transfer Agency experience.
  • 2 years managerial experience in Mutual Funds / Registrar Function in Back Office operations or transactional based environment.
  • Stable career history.

  • Excellent written and verbal communication skills.
  • Must have strong leadership and management skills.
  • Professional character, dress and manner.
  • Strong personality to be able to tackle difficult and sensitive situations.
  • Driven and personally motivated to succeed.
  • Ability to motivate and encourage staff.
  • Ability to work systematically and under pressure.
  • Deadline driven.
  • Creative, innovative with excellent problem solving skills.
  • Logical and systematic.

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