Transfer Agent Operations Supervisor

The Transfer Agent Operations Supervisor oversees the delivery of transfer agency services to primarily 1940 Act investment company mutual funds. The Transfer Agent Operations Supervisor is responsible for performance and development of the team members, service delivery to the customers (internal and external) and problem escalation and resolution. The role also includes managing process improvements, supporting new business development and onboarding new clients.

Key Responsibilities:

• Provide supervision of Transfer Agent Operations and manage the multiple timelines involved in a recordkeeping environment:

• Supervise the accurate maintenance of transaction records and books of the daily functions and activities performed by Transfer Agent staff

• Observe and supervise tax reporting guidelines and deliverables

• Oversee and control the accurate reconciliation of cash and capital stock movement, dividend disbursement, and cash transfer to custodians

• Ensure processes comply with governmental and self-regulating organizations and rules using in-house Compliance resources

• Confirm that all client and investor deliverable requirements are met, including establishing work priorities, project plans and deadlines

• Assist in Transfer Agent team management, including performance reviews, feedback, mentoring and training; conduct periodic coaching/feedback sessions with direct reports and regular team meetings

• Act as liaison for communicating with clients, regulators and auditors

Basic Qualifications:

• Bachelor's degree in accounting or business administration, or equivalent work experience

• 3 to 5 years of related work experience in the financial services, brokerage or banking industries, with specific attention to managing transactional activities and/or financial operations

• Compliance or regulatory experience preferred

Preferred Skills/Experience:

• Proficient computer skills, especially Microsoft Office applications

• Superior leadership and people management skills

• Experience with EFTPS/IRS Tax reporting systems

• Knowledge and experience with NSCC/DTCC processing strongly preferred

• Superior attention to detail, a sense of urgency for deadlines, and solid organizational skills

• Ability to manage multiple tasks/projects and deadlines simultaneously and adapt to changing client priorities and regulatory requirements

• Ability to prioritize and plan

• Excellent verbal and written communication skills