Transfer Agency Control Manager
Brown Brothers Harriman
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Transfer Agency Control Manager

As the Transfer Agency Control Manager you will be responsible for driving the management and oversight of all Global Transfer Agency procedures, practices and initiatives.

This is a critical role which strives to protect BBH, its Client and their Clients investments in the funds and countries for which BBH provides Transfer Agency services.

Your day to day responsibility will be to ensure that the call backs of certain static data changes are undertaken accurately, timely and in accordance with procedures.

You will have close interactions with various Global Transfer Agency teams locally and across locations. Your role will be critical in managing operational risk and will leverage your experience in anti-

fraud, transaction monitoring and analytics gained from your background in Transfer Agency, Compliance or Risk. It also requires ongoing internal and market analysis of Best Practice and benchmarking techniques to ensure that BBH policy for TA anti-

fraud is aligned to best industry and BBH practice.

In your capacity as the Transfer Agency Control Manager, you will also be the Transfer Agent’s key anti-fraud contact point for Clients, Client Service and Investor Relations Management, as well as Relationship Management.

This will involve participation in conference calls, client meetings and presentations, as required.

You will be responsible for ensuring compliance with existing group and transfer agency policies, which will be measured through audits and reviews, and create standards within the respective teams to enhance workflows.

It is expected that the candidate will be the subject matter expert for the escalation of any issues that arise during the day to day processing.

Daily Responsibilities :

  • Ensure and / or undertake the performance of call backs on critical bank detail changes and certain changes in contact details.
  • Production of daily critical metrics outlining the day’s activities, items pending, key decisions, etc.
  • Oversee the distribution of the daily confirmations on changes to static data, ensuring that all are successfully delivered.
  • Act as an escalation point for IOB (Investor Onboarding and Investor Ongoing Monitoring) Management in determining whether a change of static data request warrants a call back and / or written confirmation and / or escalation.
  • Ensure all activity is carried out in accordance with BBH and / or Funds procedure and documentation.
  • Ensure all work is processed and / or reported in accordance with the agreed operating procedures. Oversee, at minimum annually, regular reviews of procedures
  • Ensure the timely processing of secrurity access requests and new user set up
  • Client Relationship :

  • Provide updates and support for the Transfer Agency Investor Relations Managers on anti-fraud initiatives, including but not limited to, information for board reporting, client servicing reports, business plans, new client presentations, service level agreements, etc.
  • Assist in establishing anti-fraud service standards for our clients
  • Remain knowledgeable of changing industry initiatives and educate clients continually through presentations.
  • Establish solid contacts with all areas and all levels at our clients’ organizations, but also internally through leveraging the expertise and resources in our Hong Kong, Dublin, Krakow and Boston offices to fulfill our global operating model requirements.
  • Ensure any issues, errors or complaints are escalated accordingly, and that adequate steps are taken to resolve issues and prevent future occurrences.
  • Provide the global transfer agency team and our clients with expert advice on regulatory developments and their impact on current operations / future projects.
  • Global Connectivity :

  • Act as the Departments escalation point for decisions on changes to static data that may or may not require a call back.
  • Business owner for the global team of anti-fraud initiatives, policy and procedural updates and system developments.
  • Liaison with senior management, including the transfer agency risk steering group and other internal stakeholders on anti-fraud initiatives.
  • Represent the Transfer Agency group on industry groups, client calls and in turn providing feedback on training to the teams on anti-fraud initiatives
  • Act as global transfer agency’s anti-fraud liaison with various BBH stakeholders, including but not limited to, operational risk, compliance, internal audit.
  • People Management :

  • Responsible for setting goals and objectives for each team member and ensuring that these are actively monitored and kept up to date
  • Be responsible for the training of staff, ensuring that all specific requirements are understood, as well as ensuring cross training is in place to develop depth and breadth of knowledge.
  • Interact successfully and professionally with other parts of the global transfer agency team, thereby demonstrating the global mentality.
  • Be responsible for the performance reviews of direct reports (and their direct reports) and will have the authority to recommend promotion and level of compensation.
  • The TA anti-fraud officer will also have the authority to handle employees failing to meet team expectations.

  • Ensure that employees who are not performing as expected are managed and mentored accordingly, putting in place a Performance Improvement Plan (PIP) if necessary
  • Ensure adequate staffing levels are in place, to meet both daily and future business requirements
  • Provide mentoring, assistance, guidance and support to your Direct Reports, their direct reports (if necessary) and to other staff when necessary.
  • Ensure regular team meetings are held and views and feedback is encouraged and sought from all attendees.
  • Hold at least quarterly 1-2-1 meetings with your direct reports
  • Skills / Competencies

  • Strong interpersonal skills with an ability to communicate effectively
  • Organised with strong attention to detail
  • Independent, objective thinker (not afraid to challenge the status quo)
  • An analytical mindset or / and experience in change management or project support
  • Ability to demonstrates respect and values diversity of Ideas
  • Exhibits sound judgement and solves problems
  • Fosters team spirit
  • Is adaptable and flexible
  • A self-starter, who can work under pressure
  • Management of performance and resources
  • Knowledge, Skills and Abilities :

  • 7+year’s Transfer Agency, Risk or Compliance experience, with demonstrable experience in anti-fraud measures advantageous.
  • Minimum of 4 years management experience essential.
  • Ability to manage and work with virtual, remote and global teams is important.
  • Experience in planning, initiating and following through to meet objectives
  • Be able to demonstrate ability to coordinate with other departments and stakeholders to meet client needs
  • Proven track record in identifying, recommending and implementing innovative solutions
  • Excellent communication and client-facing skills
  • Well developed technical skills
  • Strong interpersonal, as well as organizational skills. .
  • Proven track record in people management
  • What You Can Expect At BBH :

    If you join BBH you will find collaborative environment that enables you to step outside your role to add value wherever you can.

    You will have direct access to clients, information and experts across all business areas around the world. BBH will provide you with opportunities to grow your expertise, take on new challenges, and reinvent yourself without leaving the firm.

    We encourage a culture of inclusion that values each employee’s unique perspective. We provide a high-quality benefits program emphasizing good health, financial security, and peace of mind.

    Ultimately we want you to have rewarding work with the flexibility to enjoy personal and family experiences at every career stage.

    Our BBH Cares program offers volunteer opportunities to give back to your community and help transform the lives of others

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