Sr Mgr-Transfer Agency Governance

Transfer Agent Governance And Administration Manager

Manage and oversee multiple functions within Transfer Agent Governance and Administration to ensure compliance with all standards and requirements as established by the company and various regulatory agencies. Serve as a liaison for the Transfer Agent into the Compliance Risk Management and Legal Departments. Provide leadership and direction to manage the daily activities of the Transfer Agency Governance and Administration operation.

Key Responsibilities

Support the oversight of 3rd party providers and team members, for various Compliance & Regulatory processes including but not limited to Abandoned Property, Blue Sky, Regulatory Reporting, Complaints, AML / CIP, Privacy, and Fraud. Responsible for completing corporate vendor oversight tasks, contract reviews, risk assessments.

Demonstrate subject matter expertise in these functional areas and serve as primary point of contact for the Compliance, Risk Management and Legal Departments to resolve escalated client issues or research requests. Partner with Legal Product department and direct reports to execute timely regulatory mailings and filings including TA-2s, TIC. Participate in industry committees and vendor webinars to stay up to date with regulatory change and / or enhancements.

Conduct daily, weekly and monthly meetings to perform assessment of KPI's and SLA's, ensuring high-quality service is provided by CTI's suppliers. Act as a point of escalation for incidents and REV's, working with senior management to remediate in a timely manner. Work to improve processes and ensure adequate internal / external procedures are established and adhered to, making enhancements to improve productivity, quality, and cost.

Responsible for all aspects of individual and team development. Maintain a team structure that meets the business objectives of the organization and maximizes productivity, quality, employee morale, and financial goals. Provide leadership and direction to department through coaching and mentoring, ongoing feedback, and team building. Responsible for all aspects of performance management including recruiting, performance planning, training, and career development.

Demonstrate expertise in leading and / or facilitating projects & Ad Hoc tasks, including (but not limited to) complex account research, implementations, drafting and adhering to testing protocols, enhancements, improvements, and participating in industry committees.

Work with auditors (Internal Audit, Compliance, external auditors) to pull requested data, assist with their analysis, and prepare responses.

Required Qualifications

Possess high degree of initiative, self-motivation, organizational, problem solving skills, and conflict management skills. Display attention to detail and accuracy. Demonstrate strong leadership and decision making skills. Ability to collaborate and work effectively with all levels of the organization. Ability to work in a multi-tasked and rapidly changing environment and be highly flexible and adaptive to change. Ability to manage third-party suppliers offering a range of services, with strong relationship and stakeholder management skills Strong interpersonal skills, both written and verbal, with the ability to build diverse teams Ability to deliver assigned projects as requested, on time and within budget

Preferred Qualifications

Prior experience of working within an outsourced third-party supplier, transfer agency relationship or inhouse servicing model concerning fund administration with a strong knowledge of a variety of fund types and structures. A desire to continually improve your knowledge of the Columbia Threadneedle product range, our investor requirements and wider industry level challenges, discussion points and solutions.

About Our Company

We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team more than 20,000 people in 20 countries, we advise, manage and protect assets and income of more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.

Full time

Exempt

Mutual Fund Operations

AMINV US Asset Management