Analyst, Transfer Agency Resume Samples

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M Cronin

Murphy

Cronin

9220 Isabel Isle

Houston

+1 (555) 844 7820

9220 Isabel Isle

Houston

Phone

p +1 (555) 844 7820

Experience Experience

San Francisco, CA

Analyst, Transfer Agency

San Francisco, CA

Harber-Yundt

San Francisco, CA

Analyst, Transfer Agency

Management and analysis of workflow queues assigned, as well as email and phone queries
Provide management information and analysis
Maintains a close working relationship with other areas, such as New Business, ICM and other internal areas such as the Relationship Managers
Perform investor account opening and maintenance in registration tool
Perform AML/KYC assessment for existing and new investors
Day to day processing work, quality checks and assurance
Perform investor account opening and maintenance (KYC/AML)

Detroit, MI

Senior Analyst, Transfer Agency

Detroit, MI

Blick and Sons

Detroit, MI

Senior Analyst, Transfer Agency

May manage daily operational activities and supervise day-to-day work of junior level employees (but not a formal management role)
Compiles, coordinates and manages monthly MIS to senior managers highlighting performance, trends, issues and industry impacts
Manage work allocation in the absence of Team Leader in consultation with Managers
Maintain and develop key internal relationships with Relationship Managers and other internal clients
Workflow queue management and analysis
Responsible for maintaining and enhancing service provided to the Platform and our Management Companies
Maintains a close working relationship with other areas, such as New Business and other internal areas such as the Relationship Managers

present

San Francisco, CA

Senior Analyst, Transfer Agency, Settlements

San Francisco, CA

O'Hara-Rogahn

present

San Francisco, CA

Senior Analyst, Transfer Agency, Settlements

present

Maintains a close working relationship with other TA areas, such as Dealing, Registration, and other internal areas such as the Client Services
Employees are expected to exercise due care and diligence, ensuring the areas the incumbent is responsible for are organised and controlled
Responsible for authorisation & quality control checks on all funding payments
Monitor and assist on the queries and liaise with other departments where necessary
Work queue management
Adherence to Client SLDs
Responsible for authorisation & quality control checks on payments between IMR & other accounts to ensure no delays occur on the remittance of external payments to Investors

Education Education

Bachelor’s Degree

Arizona State University

Bachelor’s Degree

Skills Skills

Extensive knowledge of collective investment scheme administration and the regulatory environment is highly desirable
Attention to details and focus on quality - Strong analytical skills
Good IT skills ( Microsoft Office – MFGI knowledge being an advantage)
Good keyboard skills to include MS Excel and ability to learn systems used within the business (Essential)
Participating in quality control and quality assurance s
Be able to work as part of a team with minimal supervision
Ability to work under pressure meeting challenging deadlines
Ability to review and resolve complex issues
Excellent planning and organisation skills
Knowledge and understanding of various regulatory Environments

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Analyst, Transfer Agency Resume Examples & Samples

Posting and settling trades in an accurate and timely manner
Processing trade corrections and cancellations
Processing account maintenance and opening new accounts
Quality checking of shareholder’s trades, maintenance, and new accounts
Participating in coordination of in-kind transactions, mergers and fund conversions
Documenting procedures and/or issues
Reviewing daily reports, preforming trend analysis, and making recommendations to managers
1-2 years experiences working with mutual funds preferred but would also consider candidates with knowledge of financial industry. Knowledge of IRA preferred. New grads will be considered. Degree in Finance or other relative field preferred

Senior Analyst, Transfer Agency Resume Examples & Samples

Significant operational mutual fund
Ability to work under pressure meeting
Self-management
Escalation point for unresolved issues to
Exercise due care and diligence, ensuring

Analyst, Transfer Agency Resume Examples & Samples

Functional / Industry Knowledge is required
Be able to work as part of a team with minimal supervision
Accuracy and attention to detail are critical
Seeking 1-2 years of experience in reviewing investor documentation qualifying them for fund entry as required by subscription documents, Patriot Act, FATCA, and bank standards around Anti-Money Laundering Standards and tax withholdings
1 to 2 years of experience in reviewing investor documentation strongly preferred
4 year degree preferred

Senior Analyst, Transfer Agency Resume Examples & Samples

Process and quality check complex, corporate AML tasks for all management companies to regulatory and client standards
Joint responsibility for and technically sound knowledge of general registration tasks, including the following
AML
Renunciation / coverall agreements
Legals / deceased processing
Re-registration tasks, including ISAs and Tex processing
Clearstream transfers
Able to serve as a key subject matter expert on AML tasks and mentor to other more junior level employees
Maintain the integrity of the TA clients’ registers
Ensure adherence to client and departmental SLAs
Provide input to process changes which would result in greater operational efficiency
Identify, document and disseminate new procedures and controls
Carry out complex activities with significant financial, client, and/or internal business impact
Functional / Industry knowledge is required
Diversity, Inclusion and Respect
Personal Courage
Northern Trust Savvy
Focused Client Service
Excellence in Execution

Senior Analyst, Transfer Agency Resume Examples & Samples

To act as the primary point of contact for all Platform Service related queries from the Management Companies, Platforms and internal parties
Responsible for maintaining and enhancing service provided to the Platform and our Management Companies
Ownership, management and resolution of any service queries
Oversight and coordination of the Service Level Agreements
Ownership, oversight, reporting and accountability for our performance and results within the monthly league table results
Identifies and manages resolution of service delivery root causes
Initiates frequent, proactive communication with the Platforms and Management Companies to verify perceived levels of satisfaction and demonstrate proactive service
Coordinates / participates in Service Review Meetings with the key Platforms and clients on a regular basis
Compiles, coordinates and manages monthly external and internal MIS
Compiles, coordinates and manages monthly MIS to senior managers highlighting performance, trends, issues and industry impacts
Build and maintain strong relationships with all our internal partners
Build efficiencies to increase STP dealing and more ‘self-service’ via GFP
Work with the FSC Manager to reduce inbound contact volumes from key Distributors
Champion the Distributors within Northern Trust to the benefit of our clients ensuring appropriate awareness and knowledge levels
Demonstrate a good knowledge of the platforms and industry awareness
Demonstrate a good understanding of Transfer Agency
Demonstrate a detailed working knowledge of client service
Needs to demonstrate the ability to be a team player
Extensive knowledge of collective investment scheme administration and the regulatory environment
Ability to plan and prioritise their day to day workload to meet client deadlines
Ability to use Excel,Word and powerpoint competently
Attention to detail and strong accuracy
Analytical skills are required to research and provide detailed MIS
Strong written and oral communication skills are essential to this role

Analyst, Transfer Agency Resume Examples & Samples

Assess the content of the
New Clients / Investors\: Create Investor Entity and Register
Existing Clients/ Investors-Processing incoming
Day to day processing
Day to day client
Exercise due care and
Understand principles of quality

Analyst, Transfer Agency Resume Examples & Samples

Identify and resolve problems within established guidelines
Complete archiving of investor and client documentation ensuring a full audit trail exists for subsequent retrieval
Provide management information and analysis
Expected to use some initiative but refer more complex problems to supervisors

Senior Analyst, Transfer Agency X Resume Examples & Samples

Responsible for authorisation & quality control checks
Monitor and assist on the queries and liaise
Maintains a close working relationship with
Working with other team members
Employees are required to comply with the
Ability to review and resolve complex issues
Good keyboard skills to include MS Excel and
Experience in working with Multiple

Senior Analyst, Transfer Agency Resume Examples & Samples

Responsible
Work
Employees are expected to exercise due care and
Excellent planning and
Ability to work on own
Extensive knowledge of collective investment
Self-management (adaptability, integrity, learning and trust builder)
Motivation (closure

Analyst, Transfer Agency Resume Examples & Samples

Perform investor account opening and maintenance (KYC/AML)
Accurate process of investor’s instructions
Production of daily/monthly reporting
Resolution of asset manager and investor’s queries
Implementation and conversion of new clients

Analyst, Transfer Agency x Resume Examples & Samples

Procedure maintenance following the change control process
Maintains a close working relationship with other areas within the Transfer Agency business unit and other Divisions/Departments within Northern Trust
Transfer Agency Line of Business system, understanding of processing and related concepts
Transfer Agency Workflow processing system and concepts
Basic but strong AND up to date understanding of AML regulations
Lotus Notes / Microsoft email
Microsoft Excel, Word
Transfer Agency
Registration and / or Dealing
Operational experience gained in a TPA, TA or Fund Management operation
Effective risk management
Extensive knowledge of collective investment scheme administration and current regulatory environment

Senior Analyst, Transfer Agency Resume Examples & Samples

Timely completion and delivery of all month end Transfer Agency reporting metrics for inclusion in Northern Trust Global reports
Timely completion and delivery of all month end metrics to assess the performance of the Department that is reviewed locally by the Head of the Department and the MD
Management of FTE movement tracking on a monthly basis
Collation, analysis and submission of the department widget calculations
Monitor, review and reconcile the Transfer Agency incident dashboard and produce required reporting from the dashboard for various stakeholders
Prepare monthly Risk Score Card and liaise with the Risk team locally on behalf of the Transfer Agency Department
Management of the department authorised signatory payment list including delivery a quarterly signed off review
Development of new/updating of current KPI metrics for the individual teams within Transfer Agency in line with the changing business & operational needs
Support other teams within the department/ other functions within Northern Trust in providing responses to various information requests and analysis
Degree in Business or relevant discipline preferred
Ideally at least 3 years of experience within a similar role or finance team
Management Information /Accounting /Financial Management experience within the Investment/ Financial Services Industry (in particular Transfer Agency) is an advantage
Ability to work on own initiative and come up with the best solutions to ad-hoc requests
Ability to work in a structured pattern, setting priorities and meeting tight deadlines often with multiple deliverables
Ability to adapt and pick up processes quickly as department is undergoing various change initiatives that impact on current processes
Demonstrates initiative in relation to updating processes or coming up with work-arounds, which may have an impact on efficiency and client satisfaction
Excellent communication and interpersonal skills, as this role requires interaction at all levels of the organisation
Excellent desktop, IT and systems skills to include MS Excel, Powerpoint and Word and ability to learn systems used within the business. Experience of Multifonds is advantageous

Analyst, Transfer Agency Resume Examples & Samples

Experience in a similar role
Good IT skills is preferable
Sound knowledge of financial markets -

Senior Analyst, Transfer Agency Resume Examples & Samples

Accurate process and supervision/validation of investor’s dealing instructions, payments and reconciliation
Ensure the cash / securities reconciliations are processed accordingly
Investigate and resolve cash breaks- prepare interest claims
Production of daily/monthly/ad-hoc reporting to investors and clients
Assist the analysts in handling complex asset manager and investor’s queries
Support the supervisor and team leader in processing fund events and reviewing prospectus changes
Review and validate Board Pack data prior submission to the Boards
UAT testing for new product releases
Participate on Client specific projects
Review outgoing emails of analysts
Coach and mentor new partner / train analysts on new process
Experience : above 3 years in a similar role
Good knowledge of the investment fund industry and Fund Administration function
Good IT skills ( Microsoft Office – strong Excel - MFGI knowledge being an advantage)
Team player , dynamic and flexible / ability to Multitask and work independently
Quality focused - Strong analytical skills
Client oriented and Good communication skills (verbal and written)

Analyst, Transfer Agency Resume Examples & Samples

Graduate in accounting, economics of finance
Experience : 0 up to 2 years in a similar role
Fluent in English (written and spoken) / any other language is an advantage ( especially French or German)
Good IT skills ( Microsoft Office – MFGI knowledge being an advantage)
Team player , dynamic and flexible / ability to Multitask
Good communication skills (verbal and written)

Analyst, Transfer Agency Resume Examples & Samples

Possess a strong interest in developing a career within fund administration, and Transfer Agency Line of Business in particular
Computer literate ideally with knowledge of Lotus Notes / Microsoft email, Microsoft Excel, Word
Operational experience gained in a TPA, TA or Fund Management operation is preferred but not required
Interpersonal / Team player
Ability to stay focussed / tenacious
Effective communication skills, both verbal and written

Senior Analyst, Transfer Agency Resume Examples & Samples

Exercise due care and diligence, ensuring the areas the incumbent is responsible for are organised and controlled
Ensuring that KPIs are achieved in order to keep losses to a minimum
Awareness of key external stakeholders including CBOI, FED, clients, advisors, auditors, trustees, compliance and shareholders
Knowledge and understanding of various regulatory Environments

Analyst, Transfer Agency Resume Examples & Samples

Day to day processing work, quality checks and assurance
Day to day oversight of processing quality and timeliness in Bangalore, seeking appropriate information from local management there where required
Escalation point for unresolved issues to the Bangalore TA team
Compliance with regulations and attainment of client specific processing requirements
Maintains a close working relationship with other areas, such as New Business, ICM and other internal areas such as the Relationship Managers
Employees are required to comply with the regulatory regime in which Northern Trust operates as appropriate to the above role
Significant operational mutual fund administration management experience gained in a TPA, TA or working directly for a fund manager
Good keyboard skills to include MS Excel and ability to learn systems used within the business (Essential)
Extensive knowledge of collective investment scheme administration and the regulatory environment is highly desirable

Senior Analyst, Transfer Agency Resume Examples & Samples

Ensure accurate process of investor’s dealing instructions, payments and reconciliation
Sound knowledge of financial markets
Client Focused

Senior Analyst, Transfer Agency Resume Examples & Samples

To support and deliver BAU activities to ensure that agreed client deliverables are met and that service levels meet and/or exceed client expectations at all times
Work closely with Settlements, Distributions and Rebate, Reconciliation teams to provide/receive timely and accurate data
Analyse process gaps and suggest improvements
Prioritize Critical clients Recs and proactively escalate any challenges/financial impacts without delay
To act as a point of contact for the resolution of day-to-day BAU issues and effectively reduce the number of reviews being sent to Home location on a daily basis
To take responsibility of eliminating aged, outstanding items and clearing exceptions on a daily basis
Manage work allocation in the absence of Team Leader in consultation with Managers
To liaise professionally with internal and external departments and functions e.g. home location to deliver BAU effectively and efficiently and to consistently achieve timely and accurate client deliverables
Manage the daily operating metrics of the Operations unit including KPI, productivity, error rates and other key metrics of the Operations Unit
To ensure that current / updated TA processes, procedures and policies are in place and are being applied across TA business units and functions responsible for

Senior Analyst, Transfer Agency Resume Examples & Samples

Perform investor account opening and maintenance in registration tool
Perform AML/KYC assessment for existing and new investors
Assume the production of some daily / monthly / ad-hoc reporting
Ensure the overall client’s satisfaction
Contribute to the on-boarding of new clients
Participate and/or own as attributed any operational or regulatory projects (take-on projects, fund launches, mergers, new fee model implementation, etc)
Languages : English, spoken, written is Mandatory. French is a distinct advantage
Attention to details and focus on quality - Strong analytical skills
Dynamic and flexible

Senior Analyst, Transfer Agency Resume Examples & Samples

Responsible for Dealing processing and or QC
Coach and mentor new partners who join the team or are trained in new sub functions
Assist on the queries and liaise with other departments where necessary
To work closely with the Technical Coordinator and Team Leader to review the process for gaps if any and suggest improvements
Maintain a close working relationship with other areas to ensure smooth process flow
Detail understanding of end to end process and strive to develop into a Subject Matter Expert
Employees are required to comply with the regulatory and data protection regime in which Northern Trust operates as appropriate to the above role
Employees are expected to exercise due care and diligence whilst ensuring that the areas the incumbent is supporting are organised and controlled
Employees are required to observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of their duties
Process expertise in Transfer Agency / Mutual Fund industry
Demonstrate a detailed working knowledge of Dealing
Systems expertise on Transfer Agency platforms, preferably EXPAG, MultiFonds and Calleo
Ability to review and resolve complex issues working under pressure meeting challenging deadlines
Excellent communication, planning and organisation skills with a flexible approach to work
Must have at least 18 months of experience in the current role

Analyst, Transfer Agency Dealing Resume Examples & Samples

Ensuring that KPIs are achieved in order to keep ASLs to a minimum
Forge and maintain relationships with all key internal/external stakeholders
The ideal candidate will hold a degree in a relevant discipline and ideally at least 1 year of experience in a similar field
Effective verbal reasoning and numeric skills (Essential)
Excellent planning and organisation skills
Flexible approach to work

Analyst, Transfer Agency Resume Examples & Samples

A College or University degree and/or some relevant work experience is preferred
Basic Functional / Industry Knowledge is preferred
Intermediate Excel skills preferred

Senior Analyst, Transfer Agency, ISC Resume Examples & Samples

Responding to investor queries via phone or email
Support the TL on telephone call levels to ensure that all Service Level Agreements are met
Support the TL in monitoring client specific mailboxes & eGain to ensure all queries are completed within the agreed service level
Act as a buddy/mentor to new team members. Provide assistance and coaching to new members of the team. Act as a point of reference for their queries
Support the improvement of quality through procedural reviews and enhancements
Ensure that the daily telephone dealing is completed and all relevant supporting documentation is scanned to the system
Provide sign off on phone deals to ensure that all trade data is correct, all necessary fields are completed and tick list has been completed appropriately
Monitors and reports on various client queries. Makes recommendations to team leader on procedure changes
Complete and send out the teams statistics or reports as requested
Act as a mentor to all members of the team, providing support and assistance where necessary
Ensure your own tasks and responsibilities are completed within the correct time scales
Demonstrate a good understanding of Ireland Transfer Agency processes within an Investor Services centre environment
Demonstrate a detailed working knowledge of Telephone Dealing and Client & Investor Services
Extensive knowledge of Organisation, Fund administration and the regulatory environment
Ability to work to set deadlines
Ability to use Excel and Word competently
Analytical skills are required to research and resolve enquiries
Interpersonal (relationship building, respectful, problem solving and understanding)
Communication (listening skills, oral communication skills, information sharing and written communication skills)
Leadership (direction, idea generation, knowledge sharing and team recognition)

Senior Analyst, Transfer Agency, Dividends Resume Examples & Samples

Day to day processing of dividend distributions within agreed timeframes and deadlines
Providing excellent customer service at all times and ensuring all service level agreements are met
Building and maintaining strong relationships with both internal and external clients
The ideal candidate will have a strong work ethic, with an eye for accuracy and attention to detail
Experience working within a busy team is essential
Familiarity with financial service operations required
Knowledge of cash management/payments/dividends required
Track record of working within tight timeframes required
Demonstrate a detailed working knowledge of dividends and/or payments
Customer service experience would be preferred
Strong keyboard skills to include MS Excel/Word and ability to learn the many systems used within the business
Knowledge and understanding of working within a regulatory Environment

Senior Analyst, Transfer Agency, Settlements Resume Examples & Samples

Responsible for authorisation & quality control checks for external payments to Investors within strict currency deadlines
Responsible for authorisation & quality control checks for payments to commission/management fee accounts within strict currency deadlines
Responsible for authorisation & quality control checks on all funding payments
Responsible for authorisation & quality control checks on payments between IMR & other accounts to ensure no delays occur on the remittance of external payments to Investors
Work queue management
Adherence to Client SLDs
Monitor and assist on the queries and liaise with other departments where necessary
Take part in any project related work as required
Attendance at internal/client meetings as required
Maintains a close working relationship with other TA areas, such as Dealing, Registration, and other internal areas such as the Client Services
Fulfil additional, relevant, tasks appropriate to the role and business requirements
Working with other team members to ensure Settlements Team Mailbox is kept up to date at all times and that e mails are actioned/filed promptly and within the standard SLD
Attend all mandatory training within the required deadlines
Employees are expected to exercise due care and diligence, ensuring the areas the incumbent is responsible for are organised and controlled
Employees are required to observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties
Demonstrate a detailed working knowledge of Transfer Agency Finance Functions
Customer Service experience would be preferred
Excellent planning and organisation skills with a flexible approach to work
Experience in working with Multiple Currencies
Extensive knowledge of regulatory environment is highly desirable

Analyst, Transfer Agency Resume Examples & Samples

Existing and new Investors
Query Resolution
AML analysis of incoming cases (account opening, remediation, not compliant accounts)
Day to day client reporting in relation to outstanding registration requirements
Management and analysis of workflow queues assigned, as well as email and phone queries
Employees are expected to 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
Effective risk management understanding
Extensive knowledge of collective investment scheme administration and current regulatory environment is an advantage
An understanding of investment product administration is an advantage
Transfer Agency Line of Business systems knowledge, understanding of processing and related concepts
Understanding of AML regulations

Senior Analyst, Transfer Agency Resume Examples & Samples

Perform/supervise investor account opening and maintenance (KYC/AML)
Production of daily/monthly/ad-hoc reporting
Resolution of client and investor’s queries
Several years’ experience in a similar role
Graduate in accounting, economics or finance is an advantage

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