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Transfer Agency, Registration (AML), Officer (Manager)

State Street

State Street is a leading provider of financial services to institutional investors around the world.

Job Summary

Candidate Profile

You will be part of a busy team responsible for providing a high quality service to Clients, Distributors and Investors in ensuring investor accounts are opened and updated in accordance with corporate and regulatory requirements. You will have the opportunity to build on your existing management experience, customer service skills and anti-money laundering regulatory knowledge, to lead and provide direction to your team, colleagues and client and to foster an environment of customer service excellence.

You will have a background in Financial Services, with a broad understanding of Transfer Agency and Fund Administration activities, and will have a good knowledge of the regulations impacting investor accounts servicing.

You will have highly developed business writing and analytical skills, with a track record in investigating complex issues and providing concise reports or verbal updates to Clients, investors and internal stakeholders.

You will be integral to ensuring that the processes, controls and staffing in place are sufficient to address the risks, and will be experienced in identifying risks and designing controls.

You will have a positive ‘can do’ attitude, eager to support colleagues and to contribute to the success of your team, department and wider organisation.

Duties and Responsibilities

Client Service

  • Ensure an effective operating model is in place to meet Client SLA obligations.
  • Strive to exceed customer expectations, and ensure your team does likewise.
  • Investigate and resolve or escalate client issues promptly and support the resolution as necessary.
  • Foster strong working relationships with your Client and colleagues to ensure an effective operating model is in place to provide a superior customer service.
  • Work with the Registration Assistant Vice President and Client Relationship Manager to identify and address areas for improvement.

Leadership & Resource Management

  • Lead a team to ensure that investor accounts are opened or reviewed accurately, timely and in accordance with regulatory requirements.
  • Foster an environment where team members are developed, trained and mentored to bring them to a high level of expertise and service skills, making use of the Training resources provided.
  • Identify efficiencies and improvements in processes and controls, and work with Senior Management and peers across the organization to implement enhancements.
  • Make sound operational decisions including, but not limited to, work priorities and resourcing requirements, anti-money laundering assessments, risks and controls.
  • Handle and resolve complex or unusual operational and resourcing problems that are referred from above and below.
  • Support team participation in the completion and implementation of department wide projects and lead local team initiatives as required.
  • Act as a point of escalation for team members or colleagues and assist with queries; manage these to resolution, with the support of team management if required.
  • Assist more senior colleagues and peers when required to do so and deputise in their absence.
  • Promote a positive working environment and be a positive influence on the team.


  • Work closely with your team members and manager to communicate your requirements and to understand theirs.
  • Ensure all communication with clients or investors is accurate, clear and concise and delivered in a highly professional manner, whether written or verbal.
  • Prepare reports for clients or Senior Management on incidents, proposals or other areas as required.
  • Work with your direct reports to develop their report writing skills and to ensure that all written communication from the team is of the highest standard.

Risk & Regulatory

  • Foster a strong culture of control and accuracy within your team, and ensure awareness of and adherence to procedures and key controls at all times.
  • Have a good knowledge of provisions of AML regulations and be familiar with and understand regulatory requirements in relation to tax reporting as they affect investor account set-up and maintenance
  • Ensure you and your team escalates issues and concerns proactively and timely. Thoroughly investigate issues and propose and implement solutions to prevent recurrence.
  • Ensure the team procedures are operationally sound with an emphasis on risk reduction and regulatory compliance; ensure procedures are in place for all tasks.
  • Facilitate internal and external audits and ensure all sampling and management input is provided on a timely basis. Ensure items identified by auditors are addressed on time.

Required Competencies

  • Excellent analytical skills, with the ability to concisely and effectively communicate results of analysis and proposals to senior management and Clients, both verbally and in writing.
  • Experience managing a team, processing high volumes accurately against tight deadlines.
  • Excellent administrative and organisational skills, with the ability to multi-task, prioritize and to work calmly under pressure.
  • Strong attention to detail and risk awareness.
  • Good knowledge and practical experience of dealing with Anti-Money Laundering regulations.
  • Team oriented and enthusiastic with the ability to work independently and as part of a team.

Preferred Knowledge, Skills & Experience

  • Sound procedural, technical and product knowledge of the Transfer Agency business is desired.
  • Typically candidate will have 6-8 years’ experience in a similar environment, including at least 1-2 years’ experience in a management capacity.
  • Excellent working knowledge of MS Office suite including Word, Excel and PowerPoint.

To apply for the job click here

Transfer Agency, Registration (AML), Officer (Manager)

To apply for the job click here

Contact us

State Street

State Street is a leading provider of financial services to institutional investors around the world.

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