Transfer Agency Oversight Lead Specialist

Overview of Role/Principle Responsibilities:

To oversee the work of one of our third-party suppliers. Able to communicate and manage relationship with TPA and tackle problems when they arise.

Help your manager/Head of Fund Ops to manage the team.

Be flexible, creative and curious enough to take on a challenge, rather than tick off set tasks on a to-do list.

Work with different areas of the business, see the big picture, and see your role evolve as the business does.

Key Responsibilities :

• Help develop team members
• Help prioritise and assign work to the team
• Help manage how we sort out problems
• Manage the relationship with transfer agent, always looking for ways to improve
• Help deliver a risk-based oversight model of the transfer agent
• Oversee the day-to-day operations of the transfer agency platform
• Oversee reconciliation: cash, stock, units in issue and tri-party
• Make sure controls are followed, and that exceptions are escalated quickly
• Set up, maintain and oversee outsourced supplier processing
• Provide relevant feedback on the performance of the outsourced Transfer Agent to Team Lead for the regular service review events.
• Manage risk events and errors and implement controls to mitigate reoccurrence
• Contribute to annual due-diligence visits to TPAs
• Liaise with the Portfolio Ops team on trading and corporate action problems
• Draft and maintain best-practice procedures
• Help prepare SLAs to support processes
• Work with stakeholders to make sure requirements are met and service is in line with the SLA
• Contribute to management information and key performance management that senior management need
• Help design and implement updates or enhancements to processes and systems
• Produce technical data on business change

Skills and Behaviours Required :

• Knowledge of how funds work
• A strong working knowledge of transfer agency platforms and processes
• A significant level of fund operations experience
• Good with Microsoft applications, including Excel to an intermediate level
• Good with numbers
• Excellent written and spoken English
• Experience of supervising, coaching or mentoring people
• Good at analysing and solving problems
• Able to prioritise and manage activities for the benefit of the business
• A really good communicator
• Good at working in a team, and with other teams
• A real attention to detail
• Able to work under pressure and with tight deadlines.

Discharge of responsibilities

The role holder shall ensure that all their responsibilities are performed to the highest levels of integrity, quality and transparency and in a manner most likely to promote the success of the Schroders Group, taking into account the interests of key stakeholders including clients, employees, regulators, suppliers and society as a whole.

In discharging their responsibilities the individual shall establish appropriate oversight and control structures for all areas under their control where needed.

Reporting Obligations

In discharging their responsibilities the role holder shall

• Ensure Transfer Agency Oversight Manager/Head of Fund Operation SG is made aware of any issues which the Transfer Agency Oversight Lead Specialist deems material
• Provide to Transfer Agency Oversight Manager/Head of Fund Operation SG an annual assessment of their own performance against objectives agreed with them

Conduct Rules

This role is within an entity/or entities which are covered by the UK's Senior Manager and Certification Regime. As such, the role holder is required to comply with the following Individual Conduct Rules:

Rule 1: You must act with integrity

Rule 2: You must act with due skill, care and diligence

Rule 3: You must be open and cooperative with the FCA, PRA and any other regulators

Rule 4: You must pay due regard to the interests of customers and treat them fairly

Rule 5: You must observe proper standards of market conduct

We're looking for the best, whoever they are

Schroders is an equal opportunities employer. You're welcome here whatever your sex, marital status, ethnic origin, sexual orientation, religious belief or age.