Transfer Agency Associate

  • Location

    London, England

  • Sector:

    Operations & Middle Office

  • Job type:


  • Salary:

    Up to £35000 per annum

  • Contact:

    Ronnie McClughen

  • Contact email:


  • Job ref:


  • Published:

    5 months ago

  • Startdate:


Our client, a Financial Services firm based in the West End are looking to recruit a Transfer Agency Associate to join their expanding London office. The role requires the oversight, coordination, monitoring and support to the team for certain functions that are outsourced to external suppliers along with ensuring fund information and documents are accurate.

The role requires a good understanding of operations and oversight and is focussed on the following:

  • Transfer Agency functions (UK Regulated Funds)
  • CASS reconciliations
  • Counterparty/Client agreements and documentation
  • Sponsor and client enquiry response and resolution
  • Model Portfolio Administration on Platforms / Systems

Main responsibilities will include;

  • Liaison with the outsource TA providers, check daily dealing, fees, Depositary notification, dilution levy and register amendments.
  • Monitor daily bank reconciliations.
  • Ensure daily, monthly and periodic tasks are being completed in line with SLA.
  • Ensure breaches and incidents are reported in regulatory/SLA timeframes.
  • Review CASS reconciliation packs, identify breaks to TA's and escalate issues.
  • Produce monthly CASS packs for management and FCA reporting.
  • Ensure breaches and incidents are reported in regulatory/SLA timeframes.
  • Review client documentation periodically and propose/implement changes.
  • Review and complete external platform agreements.
  • Ensure data held on the website and other external vendors is accurate and up to date.
  • Provide or oversee the provision of client, Adviser or Sponsor requests for information within SLA's.
  • Liaison between different service providers and clients to resolve issues.
  • Maintaining model portfolio asset allocations on platforms / systems.
  • Placing client orders and maintaining portfolios within tolerances.
  • Calculating monthly fees and oversee payments to advisers.

To be considered for this position, ideal candidates must have the following qualifications and experience;

  • Degree or numeracy based A Levels
  • CISI IOC qualified or part qualified
  • Experience in the Financial Services industry
  • 2 years' experience in a Transfer Agency environment
  • Operations experience within the Financial Services industry within either: Transfer Agency, Investor Services Administration & Model Portfolio (DFM environment)
  • Good experience of MS Office

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