What You'll Do

Transfer Agency Operations Oversight

Oversee and control daily transfer agency (TA) activities: investor onboarding, AML/KYC reviews, subscriptions, redemptions, switches, payment processing, cash and bank reconciliations, and investor record maintenance.
Ensure the team meets cut-off times, procedures, and SLAs, with a focus on accuracy and completeness.
Act as the escalation point for complex operational issues, discrepancies, and client queries, and drive them to resolution.

Team Leadership & Development

Lead, supervise, and develop a team of investor services professionals, including workload allocation, performance management, and training.
Set priorities, monitor capacity, and support resourcing and recruitment decisions.
Build a culture of accountability, control awareness, and continuous improvement.
Set clear performance expectations, provide regular feedback and support team members' professional development and career progression.

AML/KYC & Regulatory Controls

Oversee and provide senior review of AML/KYC due diligence in line with applicable AML/CFT laws and regulations, sanctions requirements and internal policies.
Ensure documentation within TA systems is complete and up to date.
Lead ongoing monitoring and remediation programs, working closely with Compliance.

Operational Risk & Controls

Own the team's control framework, including four-eyes checks, validation controls, and reconciliations.
Identify, record, and escalate operational errors, breaches, or process gaps, and lead root-cause analysis and corrective actions.
Maintain and approve written procedures, and drive process improvement and standardization.
Support internal and external audits, client due diligence visits, and regulatory reviews.

Systems & Data

Oversee the use of transfer agency and investor record-keeping systems, ensuring data accuracy and integrity.
Contribute to system enhancements, automation initiatives, and user acceptance testing.

Client & Stakeholder Management

Act as a senior point of contact for clients, internal stakeholders, fund administrators, custodians, and other service providers.
Lead client service reviews and manage relationships, including onboarding of new funds and clients.
Handle sensitive or complex investor and client queries.

Reporting & MI

Own the preparation and review of operational metrics, including transaction volumes, AML/KYC statuses, reconciliations, and issue tracking.
Deliver periodic reporting to senior management, compliance, and clients, highlighting risks, trends, and actions.

Qualifications & Experience

Bachelor's degree (or equivalent) with 8+ years of Transfer Agency / Investor Services experience within a regulated financial services environment, including 2+ years of experience supervising or leading a team.
Deep operational knowledge of investor onboarding, AML/KYC, dealing, cash processing, reconciliations, and investor reporting.
Strong experience with transfer agency platforms and a track record of improving data quality and controls.
Thorough understanding of AML/CFT requirements and regulatory expectations for investor services.
Proven ability to manage competing priorities, lead people, and deliver in a deadline-driven environment.
Excellent written and verbal communication skills, with confidence dealing with clients and senior stakeholders.
Detail-oriented, risk-aware, and able to balance hands-on involvement with strategic oversight.

What Success Looks Like

Within 90 Days: Build strong relationships with the team, clients and key stakeholders; develop a clear understanding of existing SLAs, controls and outstanding issues; and establish clear priorities for the team.
Within 6 Months: Drive consistent delivery against agreed cut-offs and SLAs, ensure procedures and controls are regularly reviewed and effectively managed, and implement a reliable management information (MI) reporting cadence.
Within 12 Months: Support positive audit and client due diligence outcomes, ensure remediation activities progress on schedule, deliver measurable process improvements, and establish development plans to support the team's growth.
Ongoing: Build trusted client relationships and foster an engaged, high-performing team with a strong focus on collaboration, development and retention.

Transfer Agency, Associate Director (WEX)

Job Description