Job Title: Transfer Agency Compliance Officer
About Us: We are a globally recognized financial institution with a history dating back to 1889. Our mission is to provide innovative financial services and guidance to successful individuals, families, and institutions by upholding our core values of service, expertise, and integrity.
Job Description: As a Transfer Agency Compliance Officer, you will oversee the processing and quality checking of dealing transactions through internal systems, ensuring compliance with regulatory and client standards.
* Key Responsibilities:
* Oversight of document management process to ensure accurate and timely scanning of investors' instructions
* Investigation and resolution of enquiries and exceptions, communicating with internal departments, banks, and brokerage firms as needed
* Preparation of financial reports in accordance with professional and regulatory requirements
* Leadership of workflow distribution and resource allocation within the team
* Provision of technical training and coaching to team members, briefings on work-related issues, and new initiatives
* Organization of team tasks, prioritization, monitoring, and timely completion of work
* Maintenance of up-to-date procedures and adherence to them on a daily basis
* Collaboration with the Team Manager in setting goals and objectives for the team
* Identification and implementation of process enhancements with supporting documentation
* Performance management, career development, staffing, and disciplinary actions
Requirements: The ideal candidate will possess excellent communication skills, analytical and problem-solving abilities, leadership and organizational skills, and the ability to work under pressure with minimal supervision.
Education and Experience: A College or University degree and/or relevant work experience are required, with supervisory experience being desirable.
Work Culture: We offer a flexible and collaborative work culture, opportunities for movement within the organization, accessible senior leaders, and a commitment to community involvement.