Vice President, Transfer Agency

About the role

The Vice President, Transfer Agency leads the Transfer Agency department, which provides fund administration services to fund management companies, covering transaction processing, reporting, AML, registration and payments. The role oversees daily operations, strategic direction and regulatory compliance, drives process improvements and manages a high-performing team supporting mutual fund and investment product shareholders.

Key responsibilities

• Provide strategic leadership for the transfer agency team and oversee transaction processing, shareholder servicing, account maintenance and recordkeeping
• Develop and monitor policies and procedures for compliance with SEC regulations, AML/KYC and other legal standards
• Manage and mentor managers and associates, and coordinate with compliance, legal, technology and finance on fund launches
• Oversee day-to-day operations including dealing, registration, investor services, settlements and reconciliations, and ensure SLAs and KPIs are met
• Enhance AML/KYC procedures, FATCA and CRS reporting, and TA compliance policies for APAC, North America and EMEA funds
• Ensure operations comply with regulatory and internal policy requirements, partner with Risk, Compliance and Legal, and maintain audit readiness
• Lead process improvement, automation and workflow enhancements, and support cross-training and succession planning
• Deliver reports and presentations to executive leadership, represent the department in industry forums and regulatory meetings, and interpret data to drive insights

Required profile

• Bachelor's degree in finance, business administration or a related field (Master's preferred)
• Minimum 12-15 years of experience in Transfer Agency or Financial Operations
• Proven experience leading operations and managing client relationships
• Strong understanding of mutual fund/ETF structures, compliance and market practices
• Executive presence, commercial acumen and ability to collaborate across functions and regions

Required skills

• Proficiency in MS Office
• Exposure to TA systems and workflow tools is a plus