Investor Services, Associate Director (BOS)

What You'll Do

Transfer Agency Operations Oversight

• Oversee and control daily transfer agency (TA) activities: investor onboarding, AML/KYC reviews, subscriptions, redemptions, switches, payment processing, cash and bank reconciliations, and investor record maintenance. • Ensure the team meets cut-off times, procedures, and SLAs, with a focus on accuracy and completeness. • Act as the escalation point for complex operational issues, discrepancies, and client queries, and drive them to resolution.

Team Leadership & Development

• Lead, supervise, and develop a team of investor services professionals, including workload allocation, performance management, and training. • Set priorities, monitor capacity, and support resourcing and recruitment decisions. • Build a culture of accountability, control awareness, and continuous improvement. • Set clear performance expectations, provide regular feedback and support team members' professional development and career progression.

AML/KYC & Regulatory Controls

• Oversee and provide senior review of AML/KYC due diligence in line with applicable AML/CFT laws and regulations, sanctions requirements and internal policies. • Ensure documentation within TA systems is complete and up to date. • Lead ongoing monitoring and remediation programs, working closely with Compliance.

Operational Risk & Controls

• Own the team's control framework, including four-eyes checks, validation controls, and reconciliations. • Identify, record, and escalate operational errors, breaches, or process gaps, and lead root-cause analysis and corrective actions. • Maintain and approve written procedures, and drive process improvement and standardization. • Support internal and external audits, client due diligence visits, and regulatory reviews.

Systems & Data

• Oversee the use of transfer agency and investor record-keeping systems, ensuring data accuracy and integrity. • Contribute to system enhancements, automation initiatives, and user acceptance testing.

Client & Stakeholder Management

• Act as a senior point of contact for clients, internal stakeholders, fund administrators, custodians, and other service providers. • Lead client service reviews and manage relationships, including onboarding of new funds and clients. • Handle sensitive or complex investor and client queries.