Team Lead, Transfer Agency

Pune, Maharashtra, India
20 Mar 2023
13 Apr 2023
Contract type
Full time
Experience level
Qualified accountant

About Northern Trust:

Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.

Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families and institutions by remaining true to our enduring principles of service, expertise and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.

Working with Us:

As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company to assist the communities we serve! Join a workplace with a greater purpose.

We’d love to learn more about how your interests and experience could be a fit with one of the world’s most admired and sustainable companies! Build your career with us and apply today.

The department is responsible for providing operational support, conduct process reviews, coordinate external visits from audit, compliance and trustees, compile and submit SDRT returns, coordinate business continuity plans and to provide management information and analysis to business units based in London and Bangalore.

This role is the day to day oversight/supervision of the processing on this role.


Responsible for the day to day supervision of the Business Support and Control team, including,

  • Delivery of monthly Key Performance Indicator information
  • Responsible for the update of the TA tactical plan
  • Responsible for ensuring that all Control Reporting is completed.
  • Coordination for all Audit, Compliance and Trustee visits and subsequent action plan
  • Engenders ‘best practice’ throughout operational areas
  • Maintains a close working relationship with other internal oversight areas, such as Compliance and Audit.
  • To work with the team, internal departments and group projects area on any allocated projects.
  • Working with the operational areas through their management information to ensure a thorough understanding of where improvement is required
  • To work with the team, internal departments and Group projects area on any allocated projects.
  • Sets partner objectives and monitors these and provides feedback through monthly one to one meetings
  • Facilitates team meetings
  • To ensure that partners meet accuracy and productivity targets where these are appropriate
  • To work with internal departments to evaluate and implement changes in proposed new regulations and to ensure that all current requirements are met
  • Provide oversight and escalation point for unresolved issues to the London TA team.
  • Liaising with clients regarding Service and Service Level Agreements.
  • Responsible for the recruitment, appraisals and retention of staff
  • Responsible for the development of the team.
  • Fulfil additional, relevant, tasks appropriate to the role and business requirements


  • Employees are required to comply with the regulatory regime in which Northern Trust operates as appropriate to the above role.
  • Employees are expected to exercise due care and diligence, ensuring the areas the incumbent is responsible for are organized and controlled.
  • Employees are required to observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties.


  • Management of department in accordance with agreed budgetary guidelines



  • Partners


  • Relationship Managers
  • Internal Clients
  • UK Transfer Agency


  • Minimum 5-7 years of working experience in reporting or Controls environment
  • Demonstrate a good understanding of MIS reporting, Business Support & Controls and Document Management.
  • Demonstrate a detailed working knowledge of business support and control processes gained in a Third Party Administration, Transfer Agency or working directly for a fund manager
  • Good working knowledge of MS office applications used for data management / reporting.
  • Ability to work on Macros, Visual Basic, MS Access and SQL queries
  • A good understanding of effective risk management
  • Analytical skills are required to research and resolve enquiries
  • Ability to work to set deadlines
  • Attention to detail and strong accuracy
  • Ability to multi-task
  • Customer Service experience, preferably gained in an investment administration environment
  • Knowledge and understanding of FSA/HMRC regulatory Environment


  • Interpersonal (relationship builder, respectful, resolves problems, people friendly and organisational savvy)
  • Communication (presentation skills, listening skills, oral communication skills, allows others to express themselves and written communication skills)
  • Self-management (adaptability and resilience, learning behaviour, integrity and ethics and relationship builder)
  • Motivation (performance standards, achieving results and persistent)
  • Thinking (creative thinking decision making, input seeking ,logical thinking and solution finding)
  • Organizational Knowledge (business knowledge, expert knowledge and external events impact)
  • Client Service and Quality (quality, relationship building and client satisfaction)
  • Administration (Anticipates needs, execution, planning, process specialist, quality seeker and time management)
  • Leadership (Addresses difficult issues, builds effective teams focused on goals, champions new initiatives, fosters development, gives timely feedback and coaching, Idea generator and sets challenging performance standards)

For further information, and to apply, please visit our website via the “Apply” button below.

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