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Transfer Agency Oversight Associate

  • Location: Wilmington, DE
  • Job Type: Contract
  • Ref No: 16-04862
  • Date: September 29, 2016

Mia D Angelo

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Job Description



This is an Associate role based in our Wilmington, Delaware location.  The successful candidate will be part of the Transfer Agency Oversight/Shareholder Services team.  The role is multi-functional and includes overseeing external Transfer Agent operations for open end mutual funds as well as providing operations support during the launch, transition and termination of mutual fund products.




• Responsible for day to day relationships with various third party Transfer Agents (TAs) across the company open end mutual funds, including our Liquidity product range, acting as a primary contact for both internal and external parties

• Investigate and resolve day to day operational queries, issues and incidents relating to the TA functions

• Proactively analyze trends in errors and issues to identify opportunities for process improvement at the TA, recommend and implement corrective action plans to prevent recurrence

• Completion of oversight controls on specific activities at the assigned TAs to ensure compliance with agreed upon service levels and accuracy of TA processes

• Draft shareholder communications and coordinate special shareholder mailings

• Review prospectuses for new fund launches and annual prospectus updates

• Review financial statements (annual/semi-annual), populate and proof shareholder related data

• Monthly TA invoice review, sign off and submit for payment

• Review and approval of annual shareholder tax reporting from the TAs (1099's, 1042s, etc.)

• Create annual dividend calendar for the assigned funds, as necessary

• Maintain and update written procedures and develop process improvement recommendations to enhance department workflow

• Other tasks as assigned




• 3-5 years, mutual fund operational experience, knowledge of transfer agency preferred

• Must have strong internal and external communication skills with a client focus

• Strong analytical skills with an ability to identify problems and develop solutions

• Acute attention to detail, understanding of downstream processes and the ability to work independently

• Demonstrate an affinity for teamwork and to contribute as a partner

• Proficient Excel skills

• Investment company and financial reporting experience a plus

• Project experience a plus

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