Head of Transfer Agency Oversight, CASS Oversight, Asset Management Operations
Our client is a growing Asset Management firm based in London and has a proven record of Investment capabilities covering a broad range of Investment Products.
The Role
This is a great opportunity for an experienced Lead in Investor Services/TA Oversight, with team management experience, who will confidently take responsibility for the oversight of a large Third Party Administration Transfer Agency.
The Head of Transfer Agency Oversight will have oversight on the Third Party Administrator CASS governance framework, attend meetings and review and report breaches, incidents, and complaints. Taking reasonable steps to escalate any CASS breaches.
The Head of Transfer Agency Oversight will manage the relationships with direct and institutional clients, managing key processes such as dealing, AML, complaints, correspondence, and payments.
The Head of Transfer Agency Oversight will play a key role in agreeing the strategy and business plan of this area, as well working with other departments to ensure the effective delivery of the strategy and plan, including other areas of operations, investment, distribution, and marketing.
The Head of Transfer Agency Oversight will manage relationships with other parties such as mandates and major external administration/operational relationships with key platforms, significant customers, advisors, and STP providers, including the monitoring adherence to agreed service levels.
The Head of Transfer Agency Oversight is to monitor the timeliness and accuracy of complaint responses and logging of any complaint handling. Reporting all complaints MI and the impact to consumer duty and CASS (and other key regulatory impacts) to the Committees and regulated boards.
The Head of Transfer Agency Oversight is to take responsibility for the recruitment, management, and development of the Investor Services team, ensuring structure is in place to meet the needs of the business.
The Candidate
5+ years strong experience in Transfer Agency Oversight – with experience in Asset Management/Investment Management.
A solid understanding of Third Party Administrator Transfer Agency.
Solid leadership and management skills – essential.
Has previously held a CASS certified position.
Educated to degree level or equivalent.
Strong regulatory and compliance understanding.
Good IT skills/ability to use Microsoft Office and Excel.
Team player with a positive, results-oriented approach.
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