Analyst, Transfer Agency Resume Samples

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MC
M Cronin
Murphy
Cronin
9220 Isabel Isle
Houston
TX
+1 (555) 844 7820
9220 Isabel Isle
Houston
TX
Phone
p +1 (555) 844 7820
Experience Experience
San Francisco, CA
Analyst, Transfer Agency
San Francisco, CA
Harber-Yundt
San Francisco, CA
Analyst, Transfer Agency
  • Management and analysis of workflow queues assigned, as well as email and phone queries
  • Provide management information and analysis
  • Maintains a close working relationship with other areas, such as New Business, ICM and other internal areas such as the Relationship Managers
  • Perform investor account opening and maintenance in registration tool
  • Perform AML/KYC assessment for existing and new investors
  • Day to day processing work, quality checks and assurance
  • Perform investor account opening and maintenance (KYC/AML)
Detroit, MI
Senior Analyst, Transfer Agency
Detroit, MI
Blick and Sons
Detroit, MI
Senior Analyst, Transfer Agency
  • May manage daily operational activities and supervise day-to-day work of junior level employees (but not a formal management role)
  • Compiles, coordinates and manages monthly MIS to senior managers highlighting performance, trends, issues and industry impacts
  • Manage work allocation in the absence of Team Leader in consultation with Managers
  • Maintain and develop key internal relationships with Relationship Managers and other internal clients
  • Workflow queue management and analysis
  • Responsible for maintaining and enhancing service provided to the Platform and our Management Companies
  • Maintains a close working relationship with other areas, such as New Business and other internal areas such as the Relationship Managers
present
San Francisco, CA
Senior Analyst, Transfer Agency, Settlements
San Francisco, CA
O'Hara-Rogahn
present
San Francisco, CA
Senior Analyst, Transfer Agency, Settlements
present
  • Maintains a close working relationship with other TA areas, such as Dealing, Registration, and other internal areas such as the Client Services
  • Employees are expected to exercise due care and diligence, ensuring the areas the incumbent is responsible for are organised and controlled
  • Responsible for authorisation & quality control checks on all funding payments
  • Monitor and assist on the queries and liaise with other departments where necessary
  • Work queue management
  • Adherence to Client SLDs
  • Responsible for authorisation & quality control checks on payments between IMR & other accounts to ensure no delays occur on the remittance of external payments to Investors
Education Education
Bachelor’s Degree
Bachelor’s Degree
Arizona State University
Bachelor’s Degree
Skills Skills
  • Extensive knowledge of collective investment scheme administration and the regulatory environment is highly desirable
  • Attention to details and focus on quality - Strong analytical skills
  • Good IT skills ( Microsoft Office – MFGI knowledge being an advantage)
  • Good keyboard skills to include MS Excel and ability to learn systems used within the business (Essential)
  • Participating in quality control and quality assurance s
  • Be able to work as part of a team with minimal supervision
  • Ability to work under pressure meeting challenging deadlines
  • Ability to review and resolve complex issues
  • Excellent planning and organisation skills
  • Knowledge and understanding of various regulatory Environments
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7 Analyst, Transfer Agency resume templates

1

Analyst, Transfer Agency Resume Examples & Samples

  • Posting and settling trades in an accurate and timely manner
  • Processing trade corrections and cancellations
  • Processing account maintenance and opening new accounts
  • Quality checking of shareholder’s trades, maintenance, and new accounts
  • Participating in coordination of in-kind transactions, mergers and fund conversions
  • Documenting procedures and/or issues
  • Reviewing daily reports, preforming trend analysis, and making recommendations to managers
  • 1-2 years experiences working with mutual funds preferred but would also consider candidates with knowledge of financial industry. Knowledge of IRA preferred. New grads will be considered. Degree in Finance or other relative field preferred
2

Senior Analyst, Transfer Agency Resume Examples & Samples

  • Significant operational mutual fund
  • Ability to work under pressure meeting
  • Self-management
  • Escalation point for unresolved issues to
  • Exercise due care and diligence, ensuring
3

Analyst, Transfer Agency Resume Examples & Samples

  • Functional / Industry Knowledge is required
  • Be able to work as part of a team with minimal supervision
  • Accuracy and attention to detail are critical
  • Seeking 1-2 years of experience in reviewing investor documentation qualifying them for fund entry as required by subscription documents, Patriot Act, FATCA, and bank standards around Anti-Money Laundering Standards and tax withholdings
  • 1 to 2 years of experience in reviewing investor documentation strongly preferred
  • 4 year degree preferred
4

Senior Analyst, Transfer Agency Resume Examples & Samples

  • Process and quality check complex, corporate AML tasks for all management companies to regulatory and client standards
  • Joint responsibility for and technically sound knowledge of general registration tasks, including the following
  • AML
  • Renunciation / coverall agreements
  • Legals / deceased processing
  • Re-registration tasks, including ISAs and Tex processing
  • Clearstream transfers
  • Able to serve as a key subject matter expert on AML tasks and mentor to other more junior level employees
  • Maintain the integrity of the TA clients’ registers
  • Ensure adherence to client and departmental SLAs
  • Provide input to process changes which would result in greater operational efficiency
  • Identify, document and disseminate new procedures and controls
  • Carry out complex activities with significant financial, client, and/or internal business impact
  • Functional / Industry knowledge is required
  • Diversity, Inclusion and Respect
  • Personal Courage
  • Northern Trust Savvy
  • Focused Client Service
  • Excellence in Execution
5

Senior Analyst, Transfer Agency Resume Examples & Samples

  • To act as the primary point of contact for all Platform Service related queries from the Management Companies, Platforms and internal parties
  • Responsible for maintaining and enhancing service provided to the Platform and our Management Companies
  • Ownership, management and resolution of any service queries
  • Oversight and coordination of the Service Level Agreements
  • Ownership, oversight, reporting and accountability for our performance and results within the monthly league table results
  • Identifies and manages resolution of service delivery root causes
  • Initiates frequent, proactive communication with the Platforms and Management Companies to verify perceived levels of satisfaction and demonstrate proactive service
  • Coordinates / participates in Service Review Meetings with the key Platforms and clients on a regular basis
  • Compiles, coordinates and manages monthly external and internal MIS
  • Compiles, coordinates and manages monthly MIS to senior managers highlighting performance, trends, issues and industry impacts
  • Build and maintain strong relationships with all our internal partners
  • Build efficiencies to increase STP dealing and more ‘self-service’ via GFP
  • Work with the FSC Manager to reduce inbound contact volumes from key Distributors
  • Champion the Distributors within Northern Trust to the benefit of our clients ensuring appropriate awareness and knowledge levels
  • Demonstrate a good knowledge of the platforms and industry awareness
  • Demonstrate a good understanding of Transfer Agency
  • Demonstrate a detailed working knowledge of client service
  • Needs to demonstrate the ability to be a team player
  • Extensive knowledge of collective investment scheme administration and the regulatory environment
  • Ability to plan and prioritise their day to day workload to meet client deadlines
  • Ability to use Excel,Word and powerpoint competently
  • Attention to detail and strong accuracy
  • Analytical skills are required to research and provide detailed MIS
  • Strong written and oral communication skills are essential to this role
6

Analyst, Transfer Agency Resume Examples & Samples

  • Assess the content of the
  • New Clients / Investors\: Create Investor Entity and Register
  • Existing Clients/ Investors-Processing incoming
  • Day to day processing
  • Day to day client
  • Exercise due care and
  • Understand principles of quality
7

Analyst, Transfer Agency Resume Examples & Samples

  • Identify and resolve problems within established guidelines
  • Complete archiving of investor and client documentation ensuring a full audit trail exists for subsequent retrieval
  • Provide management information and analysis
  • Expected to use some initiative but refer more complex problems to supervisors
8

Senior Analyst, Transfer Agency X Resume Examples & Samples

  • Responsible for authorisation & quality control checks
  • Monitor and assist on the queries and liaise
  • Maintains a close working relationship with
  • Working with other team members
  • Employees are required to comply with the
  • Ability to review and resolve complex issues
  • Good keyboard skills to include MS Excel and
  • Experience in working with Multiple
9

Senior Analyst, Transfer Agency Resume Examples & Samples

  • Responsible
  • Work
  • Employees are expected to exercise due care and
  • Excellent planning and
  • Ability to work on own
  • Extensive knowledge of collective investment
  • Self-management (adaptability, integrity, learning and trust builder)
  • Motivation (closure
10

Analyst, Transfer Agency Resume Examples & Samples

  • Perform investor account opening and maintenance (KYC/AML)
  • Accurate process of investor’s instructions
  • Production of daily/monthly reporting
  • Resolution of asset manager and investor’s queries
  • Implementation and conversion of new clients
11

Analyst, Transfer Agency x Resume Examples & Samples

  • Procedure maintenance following the change control process
  • Maintains a close working relationship with other areas within the Transfer Agency business unit and other Divisions/Departments within Northern Trust
  • Transfer Agency Line of Business system, understanding of processing and related concepts
  • Transfer Agency Workflow processing system and concepts
  • Basic but strong AND up to date understanding of AML regulations
  • Lotus Notes / Microsoft email
  • Microsoft Excel, Word
  • Transfer Agency
  • Registration and / or Dealing
  • Operational experience gained in a TPA, TA or Fund Management operation
  • Effective risk management
  • Extensive knowledge of collective investment scheme administration and current regulatory environment
12

Senior Analyst, Transfer Agency Resume Examples & Samples

  • Timely completion and delivery of all month end Transfer Agency reporting metrics for inclusion in Northern Trust Global reports
  • Timely completion and delivery of all month end metrics to assess the performance of the Department that is reviewed locally by the Head of the Department and the MD
  • Management of FTE movement tracking on a monthly basis
  • Collation, analysis and submission of the department widget calculations
  • Monitor, review and reconcile the Transfer Agency incident dashboard and produce required reporting from the dashboard for various stakeholders
  • Prepare monthly Risk Score Card and liaise with the Risk team locally on behalf of the Transfer Agency Department
  • Management of the department authorised signatory payment list including delivery a quarterly signed off review
  • Development of new/updating of current KPI metrics for the individual teams within Transfer Agency in line with the changing business & operational needs
  • Support other teams within the department/ other functions within Northern Trust in providing responses to various information requests and analysis
  • Degree in Business or relevant discipline preferred
  • Ideally at least 3 years of experience within a similar role or finance team
  • Management Information /Accounting /Financial Management experience within the Investment/ Financial Services Industry (in particular Transfer Agency) is an advantage
  • Ability to work on own initiative and come up with the best solutions to ad-hoc requests
  • Ability to work in a structured pattern, setting priorities and meeting tight deadlines often with multiple deliverables
  • Ability to adapt and pick up processes quickly as department is undergoing various change initiatives that impact on current processes
  • Demonstrates initiative in relation to updating processes or coming up with work-arounds, which may have an impact on efficiency and client satisfaction
  • Excellent communication and interpersonal skills, as this role requires interaction at all levels of the organisation
  • Excellent desktop, IT and systems skills to include MS Excel, Powerpoint and Word and ability to learn systems used within the business. Experience of Multifonds is advantageous
13

Analyst, Transfer Agency Resume Examples & Samples

  • Experience in a similar role
  • Good IT skills is preferable
  • Sound knowledge of financial markets -
14

Senior Analyst, Transfer Agency Resume Examples & Samples

  • Accurate process and supervision/validation of investor’s dealing instructions, payments and reconciliation
  • Ensure the cash / securities reconciliations are processed accordingly
  • Investigate and resolve cash breaks- prepare interest claims
  • Production of daily/monthly/ad-hoc reporting to investors and clients
  • Assist the analysts in handling complex asset manager and investor’s queries
  • Support the supervisor and team leader in processing fund events and reviewing prospectus changes
  • Review and validate Board Pack data prior submission to the Boards
  • UAT testing for new product releases
  • Participate on Client specific projects
  • Review outgoing emails of analysts
  • Coach and mentor new partner / train analysts on new process
  • Experience : above 3 years in a similar role
  • Good knowledge of the investment fund industry and Fund Administration function
  • Good IT skills ( Microsoft Office – strong Excel - MFGI knowledge being an advantage)
  • Team player , dynamic and flexible / ability to Multitask and work independently
  • Quality focused - Strong analytical skills
  • Client oriented and Good communication skills (verbal and written)
15

Analyst, Transfer Agency Resume Examples & Samples

  • Graduate in accounting, economics of finance
  • Experience : 0 up to 2 years in a similar role
  • Fluent in English (written and spoken) / any other language is an advantage ( especially French or German)
  • Good IT skills ( Microsoft Office – MFGI knowledge being an advantage)
  • Team player , dynamic and flexible / ability to Multitask
  • Good communication skills (verbal and written)
16

Analyst, Transfer Agency Resume Examples & Samples

  • Possess a strong interest in developing a career within fund administration, and Transfer Agency Line of Business in particular
  • Computer literate ideally with knowledge of Lotus Notes / Microsoft email, Microsoft Excel, Word
  • Operational experience gained in a TPA, TA or Fund Management operation is preferred but not required
  • Interpersonal / Team player
  • Ability to stay focussed / tenacious
  • Effective communication skills, both verbal and written
17

Senior Analyst, Transfer Agency Resume Examples & Samples

  • Exercise due care and diligence, ensuring the areas the incumbent is responsible for are organised and controlled
  • Ensuring that KPIs are achieved in order to keep losses to a minimum
  • Awareness of key external stakeholders including CBOI, FED, clients, advisors, auditors, trustees, compliance and shareholders
  • Knowledge and understanding of various regulatory Environments
18

Analyst, Transfer Agency Resume Examples & Samples

  • Day to day processing work, quality checks and assurance
  • Day to day oversight of processing quality and timeliness in Bangalore, seeking appropriate information from local management there where required
  • Escalation point for unresolved issues to the Bangalore TA team
  • Compliance with regulations and attainment of client specific processing requirements
  • Maintains a close working relationship with other areas, such as New Business, ICM and other internal areas such as the Relationship Managers
  • Employees are required to comply with the regulatory regime in which Northern Trust operates as appropriate to the above role
  • Significant operational mutual fund administration management experience gained in a TPA, TA or working directly for a fund manager
  • Good keyboard skills to include MS Excel and ability to learn systems used within the business (Essential)
  • Extensive knowledge of collective investment scheme administration and the regulatory environment is highly desirable
19

Senior Analyst, Transfer Agency Resume Examples & Samples

  • Ensure accurate process of investor’s dealing instructions, payments and reconciliation
  • Sound knowledge of financial markets
  • Client Focused
20

Senior Analyst, Transfer Agency Resume Examples & Samples

  • To support and deliver BAU activities to ensure that agreed client deliverables are met and that service levels meet and/or exceed client expectations at all times
  • Work closely with Settlements, Distributions and Rebate, Reconciliation teams to provide/receive timely and accurate data
  • Analyse process gaps and suggest improvements
  • Prioritize Critical clients Recs and proactively escalate any challenges/financial impacts without delay
  • To act as a point of contact for the resolution of day-to-day BAU issues and effectively reduce the number of reviews being sent to Home location on a daily basis
  • To take responsibility of eliminating aged, outstanding items and clearing exceptions on a daily basis
  • Manage work allocation in the absence of Team Leader in consultation with Managers
  • To liaise professionally with internal and external departments and functions e.g. home location to deliver BAU effectively and efficiently and to consistently achieve timely and accurate client deliverables
  • Manage the daily operating metrics of the Operations unit including KPI, productivity, error rates and other key metrics of the Operations Unit
  • To ensure that current / updated TA processes, procedures and policies are in place and are being applied across TA business units and functions responsible for
21

Senior Analyst, Transfer Agency Resume Examples & Samples

  • Perform investor account opening and maintenance in registration tool
  • Perform AML/KYC assessment for existing and new investors
  • Assume the production of some daily / monthly / ad-hoc reporting
  • Ensure the overall client’s satisfaction
  • Contribute to the on-boarding of new clients
  • Participate and/or own as attributed any operational or regulatory projects (take-on projects, fund launches, mergers, new fee model implementation, etc)
  • Languages : English, spoken, written is Mandatory. French is a distinct advantage
  • Attention to details and focus on quality - Strong analytical skills
  • Dynamic and flexible
22

Senior Analyst, Transfer Agency Resume Examples & Samples

  • Responsible for Dealing processing and or QC
  • Coach and mentor new partners who join the team or are trained in new sub functions
  • Assist on the queries and liaise with other departments where necessary
  • To work closely with the Technical Coordinator and Team Leader to review the process for gaps if any and suggest improvements
  • Maintain a close working relationship with other areas to ensure smooth process flow
  • Detail understanding of end to end process and strive to develop into a Subject Matter Expert
  • Employees are required to comply with the regulatory and data protection regime in which Northern Trust operates as appropriate to the above role
  • Employees are expected to exercise due care and diligence whilst ensuring that the areas the incumbent is supporting are organised and controlled
  • Employees are required to observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of their duties
  • Process expertise in Transfer Agency / Mutual Fund industry
  • Demonstrate a detailed working knowledge of Dealing
  • Systems expertise on Transfer Agency platforms, preferably EXPAG, MultiFonds and Calleo
  • Ability to review and resolve complex issues working under pressure meeting challenging deadlines
  • Excellent communication, planning and organisation skills with a flexible approach to work
  • Must have at least 18 months of experience in the current role
23

Analyst, Transfer Agency Dealing Resume Examples & Samples

  • Ensuring that KPIs are achieved in order to keep ASLs to a minimum
  • Forge and maintain relationships with all key internal/external stakeholders
  • The ideal candidate will hold a degree in a relevant discipline and ideally at least 1 year of experience in a similar field
  • Effective verbal reasoning and numeric skills (Essential)
  • Excellent planning and organisation skills
  • Flexible approach to work
24

Analyst, Transfer Agency Resume Examples & Samples

  • A College or University degree and/or some relevant work experience is preferred
  • Basic Functional / Industry Knowledge is preferred
  • Intermediate Excel skills preferred
25

Senior Analyst, Transfer Agency, ISC Resume Examples & Samples

  • Responding to investor queries via phone or email
  • Support the TL on telephone call levels to ensure that all Service Level Agreements are met
  • Support the TL in monitoring client specific mailboxes & eGain to ensure all queries are completed within the agreed service level
  • Act as a buddy/mentor to new team members. Provide assistance and coaching to new members of the team. Act as a point of reference for their queries
  • Support the improvement of quality through procedural reviews and enhancements
  • Ensure that the daily telephone dealing is completed and all relevant supporting documentation is scanned to the system
  • Provide sign off on phone deals to ensure that all trade data is correct, all necessary fields are completed and tick list has been completed appropriately
  • Monitors and reports on various client queries. Makes recommendations to team leader on procedure changes
  • Complete and send out the teams statistics or reports as requested
  • Act as a mentor to all members of the team, providing support and assistance where necessary
  • Ensure your own tasks and responsibilities are completed within the correct time scales
  • Demonstrate a good understanding of Ireland Transfer Agency processes within an Investor Services centre environment
  • Demonstrate a detailed working knowledge of Telephone Dealing and Client & Investor Services
  • Extensive knowledge of Organisation, Fund administration and the regulatory environment
  • Ability to work to set deadlines
  • Ability to use Excel and Word competently
  • Analytical skills are required to research and resolve enquiries
  • Interpersonal (relationship building, respectful, problem solving and understanding)
  • Communication (listening skills, oral communication skills, information sharing and written communication skills)
  • Leadership (direction, idea generation, knowledge sharing and team recognition)
26

Senior Analyst, Transfer Agency, Dividends Resume Examples & Samples

  • Day to day processing of dividend distributions within agreed timeframes and deadlines
  • Providing excellent customer service at all times and ensuring all service level agreements are met
  • Building and maintaining strong relationships with both internal and external clients
  • The ideal candidate will have a strong work ethic, with an eye for accuracy and attention to detail
  • Experience working within a busy team is essential
  • Familiarity with financial service operations required
  • Knowledge of cash management/payments/dividends required
  • Track record of working within tight timeframes required
  • Demonstrate a detailed working knowledge of dividends and/or payments
  • Customer service experience would be preferred
  • Strong keyboard skills to include MS Excel/Word and ability to learn the many systems used within the business
  • Knowledge and understanding of working within a regulatory Environment
27

Senior Analyst, Transfer Agency, Settlements Resume Examples & Samples

  • Responsible for authorisation & quality control checks for external payments to Investors within strict currency deadlines
  • Responsible for authorisation & quality control checks for payments to commission/management fee accounts within strict currency deadlines
  • Responsible for authorisation & quality control checks on all funding payments
  • Responsible for authorisation & quality control checks on payments between IMR & other accounts to ensure no delays occur on the remittance of external payments to Investors
  • Work queue management
  • Adherence to Client SLDs
  • Monitor and assist on the queries and liaise with other departments where necessary
  • Take part in any project related work as required
  • Attendance at internal/client meetings as required
  • Maintains a close working relationship with other TA areas, such as Dealing, Registration, and other internal areas such as the Client Services
  • Fulfil additional, relevant, tasks appropriate to the role and business requirements
  • Working with other team members to ensure Settlements Team Mailbox is kept up to date at all times and that e mails are actioned/filed promptly and within the standard SLD
  • Attend all mandatory training within the required deadlines
  • Employees are expected to exercise due care and diligence, ensuring the areas the incumbent is responsible for are organised and controlled
  • Employees are required to observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties
  • Demonstrate a detailed working knowledge of Transfer Agency Finance Functions
  • Customer Service experience would be preferred
  • Excellent planning and organisation skills with a flexible approach to work
  • Experience in working with Multiple Currencies
  • Extensive knowledge of regulatory environment is highly desirable
28

Analyst, Transfer Agency Resume Examples & Samples

  • Existing and new Investors
  • Query Resolution
  • AML analysis of incoming cases (account opening, remediation, not compliant accounts)
  • Day to day client reporting in relation to outstanding registration requirements
  • Management and analysis of workflow queues assigned, as well as email and phone queries
  • Employees are expected to exercise due care and diligence, and ensure that the responsibilities of the role are organised and controlled within the ambit of regulation, compliance and risk management
  • Effective risk management understanding
  • Extensive knowledge of collective investment scheme administration and current regulatory environment is an advantage
  • An understanding of investment product administration is an advantage
  • Transfer Agency Line of Business systems knowledge, understanding of processing and related concepts
  • Understanding of AML regulations
29

Senior Analyst, Transfer Agency Resume Examples & Samples

  • Perform/supervise investor account opening and maintenance (KYC/AML)
  • Production of daily/monthly/ad-hoc reporting
  • Resolution of client and investor’s queries
  • Several years’ experience in a similar role
  • Graduate in accounting, economics or finance is an advantage