AVP/Senior Manager - Transfer Agency - BFS

We Are Hiring for AVP/Senior Manager for Transfer Agency Role

Role

The department is responsible for client processing and quality checking of transactions and updating the registers of our clients- mutual funds in response to investor instructions. This role is for day to day oversight/supervision of the processing of this work.

Principal Responsibilities

Responsible for the day to day management of the Dealing, Registration and AML teams including,

- Achievement of monthly KPIs

- Responsible for ensuring that all Dealing, Registration and AML tasks are processed as per SLA.

- Compliance with regulations and attainment of client specific processing requirements to include Client Money oversight and control

- Day to day oversight of processing quality and timeliness in Bangalore, seeking appropriate information from local management there where required

- Maximise scalability through the use of onshore and offshore locations and multi-function, i.e., Dealing and Registration

- Escalation point for unresolved issues to the Bangalore TA team

- Maintains a close working relationship with other areas, such as Business Support and Control, DMS and other internal areas such as the Relationship Managers.

- To work with the team, internal departments and group projects area on any allocated projects.

- Analyse monthly management information to understand where quality at an individual, process, team or management company needs to be addressed

- To work with the team, internal departments and Group projects area on any allocated projects.

- To facilitate regular team meetings

- Sets partner objectives and monitors these and provides feedback through monthly one to one meetings

- To work with internal departments to evaluate and implement changes in proposed new regulations and to ensure that all current requirements are met

- Liaising with clients regarding Service and Service Level Agreements.

- Provides management and guidance to staff, fostering an environment which encourages employee participation, teamwork, and communication.

- Ensure that appropriate segregation of duties controls are in place at all times

- Responsible for the development, recruitment, appraisals and retention of Partners

- Fulfill additional, relevant, tasks appropriate to the role and business requirements

Accountabilities -

- Employees are required to comply with the regulatory regime in which organisation 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 organised and controlled.

- Employees are required to observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties.

Financial Responsibilities

- Management of department in accordance with agreed budgetary guidelines

- Ensuring that KPIs are achieved in order to keep ASLs to a minimum.

RELATIONSHIPS

Direct Reports

- Team Leads, Tech coordinators, Partners

Internal Key Stakeholders

- Relationship Managers

- Internal Clients

External Key stakeholders

- Regulators including, FCA and FED

- External Clients

- External Advisors

- External Banking Partners

- External Auditors / Trustees and Compliance

- Shareholders

Qualifications / Skills / Experience

Candidate to have minimum 8 years of experience in related industry (Accounting, Finance, Audit, Valuations, Capital markets, Transfer Agency, Fund Accounting, Financial Reporting, Custody).

- Minimum experience of 4 years in managing teams.

- Demonstrate a good understanding of Dealing, Registration, Settlements and AML

- Demonstrate a detailed working knowledge of Dealing, Registration and AML

- Detailed knowledge of Client money regulations required

- Has attained the IAQ Merit Award or equivalent qualification

- A good understanding of effective risk management

- Ability to work under pressure meeting challenging deadlines

- Effective verbal reasoning and numeric skills (Essential)

- Good keyboard skills to include MS Excel and ability to learn systems used within the business (Essential)

- Excellent planning and organisation skills

- Flexible approach to work

- Ability to work on own initiative

- Customer Service experience

- Extensive knowledge of collective investment scheme administration and the regulatory environment is highly desirable

- An understanding of Unit Trust and OEIC administration

- Knowledge and understanding of FCA / HMRC regulatory environment

CORE COMPETENCIES

- 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)

- Organisational 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 )

If interested please contact Recruiter : Nikita

Nikita Uchwani
Specialist BFSI
Credence HR Services
7410033808