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 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.

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