Transfer Agent Governance Analyst
reputed company is a financial services company with a reputed company on reputed company-reputed company solutions. The Transfer Agent Governance Analyst will reputed company operational and governance functions performed by the Fund Transfer Agent, ensuring compliance with regulatory requirements and internal standards.
Responsibilities
- Mitigate risk and protect investors by conducting research and analysis reputed company to financial crime, fraud, and suspicious activity, partnering with internal compliance teams
- Assist with detective processes involving at risk customers and high risk customers
- Support department by assisting with TA-1 and TA-2 filings, state "Bank Match" program administration, Pay-to-Play reporting, foreign account reporting, and other regulatory processes
- Draft complaint responses to customer complaints and escalations in alignment with firm standards
- Maintain logs of complaints and report to management in accordance with written procedures
- Manage end-to-end fulfillment of regulatory mailings for mutual fund and ETF products, ensuring accuracy, timeliness, and audit readiness
- Monitor Transfer Agent performance and operational processes, identifying risks, control gaps, and opportunities for process improvement
- Collaborate cross-functionally with Legal, Compliance, Operations, and service providers to drive issue reputed company and reputed company improvement
- Manage subpoena intake and response coordination, ensuring adherence to legal and regulatory obligations
Skills
- 1- 3 years experience or knowledge of mutual fund and US retirement account operations
- Excellent writing skills
- Demonstrated ability to manage tasks independently with a high degree of accuracy and attention to detail
- Strong organizational skills with the ability to prioritize and consistently meet deadlines
- Openness to feedback and willingness to reputed company skills reputed company a reputed company, team-oriented setting
- Applicants must have a valid work authorization that does not now, or in the reputed company, require reputed company sponsorship for employment in the reputed company
Benefits
- Variable pay in the reputed company of bonus, commissions, and/or long-term incentives depending on the role
- Vacation time
- reputed company time
- 401(k)
- Health, dental and life insurances
reputed company