Responsibilities include:
- Act as a subject matter expert for investor queries, onboarding, AML, and regulatory compliance
- Oversee TPA performance and ensure service standards (KPIs/SLAs) are met
- Manage fund setup, changes, and investor communications in collaboration with internal teams and TPAs
- Lead service review meetings, monitor incidents, and coordinate root cause analysis and remediation
- Review investor materials and correspondence to ensure accuracy, clarity, and compliance
- Champion Consumer Duty outcomes and contribute to customer experience enhancements
- Support regulatory submissions including CASS, FATCA/CRS, and ISA reporting
- Provide technical support, MI oversight, and maintain key risk and breach logs
- Collaborate on platform automation, onboarding new business, and change initiatives
- Minimum 3 years of experience in a transfer agent registrations or customer service role within the securities industry
- Direct experience and understanding of FCA Consumer Duty regulation
- In-depth industry knowledge with awareness of current trends and developments
- Strong understanding and hands-on experience with:
- Anti-Money Laundering (AML)
- Customer Due Diligence (CDD)
- Transactional pipeline trigger management
- Proven experience managing a small team, with effective leadership and delegation skills
- Excellent communication, problem-solving, planning, and budgeting abilities
- Ideally holds one of the following certifications:
- Customer Care
- TA Operations
- Investment Operations Certificate (IOC)
- Strong knowledge of relevant regulations and customer service best practices
- Prior experience working in a transfer agency or investor services centre
- Robust understanding of investment platforms and their operational processes
