Team Lead, Transfer Agency (Document Management/Registration)
About The Department:
The Transfer Agency department provides a third party fund administration service to numerous fund management companies covering the full range of shareholder servicing functions including dealing, registration, finance and investor services. Transfer Agency is a growing department based over 4 locations Limerick, Dublin, Bangalore and Pune. It’s a fast paced environment offering all partners excellent opportunities to grow their careers.
The Document Management / Registration Team is responsible for on boarding new clients and investors, whilst managing and maintaining client, investor and agent documentation according to regulatory, compliance and operational requirements.About The Role:
The Document Management / Registration Team are responsible for the creation and maintenance of investor and agent documentation and records whilst adhering to regulatory, compliance and operational requirements. This Team Leader role; reporting directly into the Document Management / Registration Team Manager; is responsible for managing a team whilst ensuring the day to day duties are carried out effectively.
Why Choose this Team Leader role within Document management / Registration?:
An exciting opportunity to join a dynamic Transfer Agency team in a full time Team Leader Role.
- Opportunity to liaise with the wider department and group around corporate initiatives and regulatory items.
- Role brings a lot of variety and is ideal for candidates who are highly self-motivated with excellent organizational and planning skills.
- Responsible for management of original documentation received into Transfer Agency, including recording receipt and scanning, ensuring adherence to data protection requirements
- Management of investor mailings, including preparation and distribution
- Oversight of archiving or destruction of original documentation as required ensuring GDPR requirements are met
- Daily oversight of partner’s work, including quality assurance, timely delivery and management of outstanding work
- Workflow queue management and analysis including allocation of work and performance management
- Maintenance, adherence and training of team in relation to procedures, guidance notes, regulation and client specific requirements/deliverables, data privacy and segregation of duties
- Prompt response to escalation items received internally/externally to Transfer Agency
- Actively participate and work with partners, both internal/external to Transfer Agency, around process improvements. Escalation point for unresolved issues from the teams in Ireland and India
- Ensure partners exercise due care and diligence, and ensure that the responsibilities of their roles are organised and controlled within the ambit of regulation, compliance and risk management
- Ensure observation of proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties
- Ensuring that KPIs are achieved in order to keep ASLs to a minimum
- Presenting and participating at client meetings, department meetings and induction training on behalf of the team
Qualifications / Skills / Experience :
- Previous financial services experience is desirable
- Knowledge of Transfer Agency incorporating Administration / Registration is an advantage
- People management experience is an advantage
- Customer Service experience including strong relationship building skills.
- Understanding of KYC and AML
- Strong Microsoft Excel, Word, Outlook skills
- Excellent attention to detail, eye for accuracy
About Northern Trust:
Northern Trust provides innovative financial services and guidance to corporations, institutions and affluent families and individuals globally. With 130 years of financial experience and nearly 20,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.
Working with Us:
As a Northern Trust partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company that is committed to strengthening the communities we serve!
We recognize the value of inclusion and diversity in culture, in thought, and in experience, which is why Forbes ranked us the top employer for Diversity in 2018.
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 ethical companies. Build your career with us and apply today!
- Want to learn more about our company? Visit www.northerntrust.com
- We are a leading global financial institution- Click here to check out our company accolades! https://www.northerntrust.com/united-states/about-us/accolades
For further information, and to apply, please visit our website via the “Apply” button below.