Registrations Officer

Specific duties:

Main purpose of role:

At this level you will be required to demonstrate a comprehensive knowledge of relevant work processes alongside a broad understanding of related and interfacing activities to provide effective management of Transfer Agency. You will be expected manage day to day tasks pertinent to the department’s activities but a major focus will be on change management, resource planning and development, client relationship management and risk reduction.

Responsibilities:

LEADERSHIP

• Responsible for the achievement of specific department/section performance targets and objectives
• As a member of the senior management team lead, direct and manage the department
• 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

• Development and maintenance of strong client relationships
• Handle and resolve complex/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. Propose and/or implement procedural changes to improve performance of the department or of related business areas
• Maintain and develop expertise demonstrating judgment and an understanding of the business
• Responsible for the development and continued maintenance of satisfactory operational client and regulatory body relationships

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
• Provide adequate training to all grades in support of the overall organisation & Transfer Agency Training Plan
• Assist more senior colleagues when required to do so and deputise in their absence
• Utilise management information as required to assist in managing both clients and resources
• Focus on development opportunities for your Senior Associates and ensure that time is made available to focus on non-operational management aspects of role through the delegation of tasks where appropriate.
• 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 as appropriate with regulatory requirements and with the relevant short, medium and long-term goals, objectives and values of the organization
• Understand the risk environment within the team & manage appropriately
• Monitor the development and implementation of appropriate procedures to meet internal control and external compliance/regulatory requirements

COMMUNICATION

• Provide regular feedback to managers and more senior colleagues with regard to Transfer Agency operations
• Attend and contribute to operational, client, risk, audit and regulatory meetings as required
• Actively participate in 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 to Senior Associates and their reports during the implementation of change
• Ensure participation in the completion and implementation of department wide projects as required and lead local team initiatives

Core Requirements:

Regulatory:

• To exercise due care and diligence, ensuring the areas the role is responsible for are organised and controlled;
• To comply with the regulatory regimes in which IFDS operates, with particular consideration given to relevant Client Asset, Data Protection and Financial Crime Prevention regulations, as appropriate to the above role.

Quality:

All employees are accountable for the delivery of a Quality service, driving for excellence in all their work activities:

• To be quality driven, aiming for 100% accuracy and timeliness of delivery;
• To effectively plan the way services are delivered so that all activity is directly related to providing quality services and meeting the expectations of the customer (internal and external);
• To continuously review processes and practices relating to the role and act as a catalyst for change and improvement in individual and team performance;
• To observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties;
• To communicate and promote the values which reinforce and support a consistent quality culture.
• To adhere to company values of Professional, Accountable, Client Focused, Excellence and Leadership (PACE & L) in all tasks and interactions

Knowledge and Competency Requirements

Specific knowledge, skills and qualifications needed to achieve required performance standards in a role.

Essential

Desirable

• Excellent administrative, organisational and business support skills, with the ability to multi-task and to work calmly under pressure.
• 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
• Comprehensive procedural, technical and product knowledge of the Transfer Agency business is required. This should be complemented with a good understanding of Fund Accounting, Custody and Regulatory background to Funds Industry.
• Personable and Enthusiastic
• Flexible
• Typically candidate will have 5-8 years’ experience in a similar environment including at least 3 years in a management/supervisory capacity.

Addendum – Job/Department Specific

Main Duties of the Job

IFDS Registration is a core transfer agency function of IFDS in Ireland responsible for creation and maintenance of investor records in compliance with appropriate regulatory considerations

Responsibilities

• Management and oversight of AML Team
• Accurate maintenance of complete and incomplete AML/KYC records including evaluation and processing of AML/KYC requirements for varying investor types.

Essential

Desirable

• Ensuring action is taken to make all AML/KYC records complete
• Follow up on pending AML/KYC requests in line with all escalation and follow up procedures
• Accurate and timely response to queries and emails
• Produce frequent reports for Senior Management on AML compliance and risk indicators
• Responsible for reporting on measures to determine the team's performance
• Assisting with fund specific AML/KYC reviews
• Maintain delivery of a high quality service level to clients and other departments
• Participate and work with Client Service Managers and TA New Business Team in the launch of new business
• Escalation to management in respect of AML/KYC issues arising
• Functional training of staff on all aspects of Registration.
• Ensure that specialist knowledge relating to the team is kept current and disseminated as appropriate and be aware of possible future developments and trends
• Manage resources to ensure all queries and tasks are resolved in a timely manner
• Act as a point of escalation for team members/internal providers with challenges or concerns relating to the Registration team and manage these issues to resolution, with consideration for the internal escalation policy
• Attend and contribute to operational
• Typically candidate will have 4-5+ years’ experience in a similar environment including at least 2-3 years in a leadership capacity.