The Department
The Transfer Agency department provides a third‑party fund administration service to numerous fund management companies covering the full range of shareholder servicing functions including dealing, registration, finance and investor services. Transfer Agency is a growing department based in four locations: Limerick, Dublin, India and Pune. The Document Management / Registration Team is responsible for onboarding new clients and investors, whilst managing and maintaining client, investor and agent documentation according to regulatory, compliance and operational requirements.
The Role
The partner will report directly to the Document Management / Registration Team Leader and will be responsible for investor, client and agent documentation where the responsibilities are carried out within strict data protection, regulation and guidelines. The partner will also support more junior members of the team, checking and validating others’ work, and identify optimisation opportunities as well as follow through with implementing these.
Principal Responsibilities
Responsible for original documentation received into Transfer Agency, including recording receipt and scanning, ensuring adherence to data protection requirements
Coordinating investor mailings, including preparation and distribution
Complying and arranging archiving or destruction of original documentation as required, ensuring GDPR requirements are met
Day‑to‑day processing work, quality checks and assurance.
Day‑to‑day oversight or point of escalation for India partners, seeking appropriate information from local management where required
Client reporting in relation to outstanding documentation requirements
Workflow queue management and analysis where required
Achievement of monthly KPIs
Procedure maintenance following the change‑control process and complying with all procedures
Work with the team, internal departments and group projects area on any allocated projects
Ensure that appropriate segregation of duties controls are in place at all times
Comply with the regulatory regime in which Northern Trust operates as appropriate to the above role
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
Observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties
Skills / Experience
Previous financial services experience is desirable
Knowledge of Transfer Agency incorporating Administration / Registration is an advantage
Understanding of KYC and AML
Strong Microsoft Excel, Word, Outlook skills
Excellent attention to detail, eye for accuracy
Proactive in terms of identifying opportunities to make improvements and implementing them
Effective risk management
Customer Service experience
Time management skills
Reasonable accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at MyHRHelp@ntrs.com.
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