Head of Operations (Digital Transfer Agency) US

Skills

About the Role

You will hold in-jurisdiction operational accountability for the SEC-registered transfer agent, covering US-hours dealing window coverage, turnaround, escalation and reconciliation. You will oversee processing delegated to the UK hub, manage the broker-dealer relationship, exercise the TA Controller function, evidence controls, support SEC examination readiness, and line manage the Operations Analyst.

Requirements

• Proven operational leadership in US transfer agency, fund administration or investment platform environment
• Working knowledge of Section 17A and 17Ad rules
• Experience owning a dealing window end to end
• Experience of outsourced or intra-group delivery model
• Strong reconciliation discipline
• Clear written communication
• Experience line managing operational staff
• Eligible to be fingerprinted for FBI criminal history check under Rule 17f-2

Responsibilities

• Hold operational accountability for transfer agent rules including 17Ad-2, 17Ad-10, 17Ad-11, 17Ad-6 and 17Ad-7
• Own dealing window coverage, turnaround, exception clearance and daily close
• Act as escalation point between UK hub and US registrant
• Oversee delegated processing by the UK hub
• Own operational readiness at launch
• Line manage the Operations Analyst - US
• Maintain continuity of the US line through absence
• Own integrity of the master securityholder file
• Own daily three-way reconciliation and break clearance
• Exercise TA Controller function including token clawback and forced transfer
• Manage the operational relationship with the distributing broker-dealer
• Support oversight of fund accountant, custodian and screening providers
• Evidence controls and contribute to SEC examination readiness
• Escalate operational risk events and control failures

Benefits

• Medical cover
• 401(k) plan
• Paid time off
• US public holidays