Transfer Agency Service Delivery Associate

Role summary

The Transfer Agency Service Delivery Associate is a client facing role, supporting day-to-day Transfer Agency operations and client service for regulated investment products (e.g., UCITS, Money Market Funds, ETFs,), ensuring timely and accurate processing of investor dealing, pricing, distributions, retrocession and all related servicing activities. The role focuses on delivering high-quality service to fund managers, administrators, distributors, and internal stakeholders while maintaining strong control discipline, risk awareness, and regulatory compliance. The role partners closely with Relationship Management, Fund Accounting, Governance, Compliance, Risk/Control, TA Product, and external stakeholders (fund boards, auditors, distributors, and intermediaries).

Key responsibilities

• Work as a client-facing SME, responsible for the transfer agency operating model and associated utilities on behalf of client.
• Responsible for end-to-end transfer agency service delivery across all functions and governance of operating model
• Ensures maintenance of deliveries in accordance with agreed service levels
• Investor dealing support: Oversee processing of dealing activity orders; ensure cut-offs, documentation, and validations are met.
• Monitoring of all cash flow deliveries and large deal handling
• Review and resolution of all NIGO transactions 
  (STP and manual)
• Ongoing monitoring of dealing restrictions across the funds
• Ensure intraday cash flow prediction reports are issued to portfolio managers within agreed SLAs.
• Oversight / governance of back-office and offshore functions
• Oversee processing of agent retrocession activity
• Complete and manage authentication call backs.
• Handle client and distributor queries (email/phone/portals), provide status updates, and manage issue resolution within agreed service levels (SLAs).
• Issue and query management/escalation
• Service review meetings/client workshops
• MIS and Board Reporting
• Client requested changes to operating model
• SLD maintenance
• Complaint handling
• Continuous improvement: Participate in root-cause analysis, process improvements, and automation initiatives; support UAT/testing and procedural updates when required.

Risk, controls, and compliance

• Maintain a strong control environment across processes, including reconciliations, maker-checker controls, access/entitlement governance, and audit evidence.
• Partner with Compliance/Risk to ensure adherence to applicable regulations and standards (e.g., AML/KYC/OFAC controls, investor communications, record retention, privacy).
• Prepare for and respond to audits, exams, and client due diligence; ensure timely closure of findings and corrective action plans.

Business change, technology, and transformation

• Partner with Technology and Product to deliver automation and platform enhancements (workflow digitization, straight-through processing, data quality, reporting improvements).
• Identify opportunities to reduce operational risk and cost through process re-engineering and elimination of manual touchpoints.
• Support governance forums (service reviews, operating committees) with KPI packs, incident reporting, and roadmap updates.

Required Skills & Experience 

• Prior experience in Transfer Agency / Fund Administration / Securities Services operations (Associate level) or closely related operational roles.
• Understanding of Money Market Funds, UCITS, ETF structures and Transfer Agency lifecycle processes (dealing, recordkeeping, distributions, retrocessions, investor servicing).
• Experience managing complex operations, leading teams, and delivering against client SLAs.
• Strong attention to detail, ability to work to tight deadlines, and comfort managing high-volume processing with accuracy.
• Proven client-service mindset with clear, professional written and verbal communication.
• Ability to investigate issues, analyse data, and escalate effectively with a control-oriented approach.
• Proficiency with Microsoft Office (especially Excel) and ability to learn TA/workflow platforms/CoPilot/AI tools

Core skills and competencies

• Risk & control mindset; strong ownership and accountability
• Customer focus and stakeholder management
• Problem solving and root-cause thinking
• Teamwork in a fast-paced, deadline-driven environment
• Adaptability and continuous improvement orientation

Working conditions / schedule (customize as needed)

• Full-time office work model and periodic overtime may be required during peak cycles, conversions, or incident resolution.

Reporting line

• Reports to: OSD Vice President and Head of Transfer Agency / Head of Investor Services