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, and client and investor document management. 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, and for APAC, North America and EMEA funds
• Manage and mentor managers and associates, and coordinate with compliance, legal, technology and finance on new 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, ensure FATCA and CRS investor documentation, and identify process gaps and strengthen controls
• Partner with Risk, Compliance and Legal, manage operational risk events, maintain audit readiness and support internal and external audits
• Deliver reports and presentations to executive leadership, represent the department in industry forums and regulatory meetings, and lead process improvement and automation initiatives

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
• Broad understanding of mutual fund/ETF structures, compliance and market practices
• Result-oriented, commercial acumen and executive presence

Required skills

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