Transfer Agency, Associate Director (WEX)

What You'll Do

Transfer Agency Operations Oversight

• Oversee and control daily transfer agency (TA) activities: investor onboarding, AML/KYC reviews, subscriptions, redemptions, switches, payment processing, cash and bank reconciliations, and investor record maintenance.
• Ensure the team meets cut-off times, procedures, and SLAs, with a focus on accuracy and completeness.
• Act as the escalation point for complex operational issues, discrepancies, and client queries, and drive them to resolution.

Team Leadership & Development

• Lead, supervise, and develop a team of investor services professionals, including workload allocation, performance management, and training.
• Set priorities, monitor capacity, and support resourcing and recruitment decisions.
• Build a culture of accountability, control awareness, and continuous improvement.
• Set clear performance expectations, provide regular feedback and support team members' professional development and career progression.

AML/KYC & Regulatory Controls

• Oversee and provide senior review of AML/KYC due diligence in line with applicable AML/CFT laws and regulations, sanctions requirements and internal policies.
• Ensure documentation within TA systems is complete and up to date.
• Lead ongoing monitoring and remediation programs, working closely with Compliance.

Operational Risk & Controls

• Own the team's control framework, including four-eyes checks, validation controls, and reconciliations.
• Identify, record, and escalate operational errors, breaches, or process gaps, and lead root-cause analysis and corrective actions.
• Maintain and approve written procedures, and drive process improvement and standardization.
• Support internal and external audits, client due diligence visits, and regulatory reviews.

Systems & Data

• Oversee the use of transfer agency and investor record-keeping systems, ensuring data accuracy and integrity.
• Contribute to system enhancements, automation initiatives, and user acceptance testing.

Client & Stakeholder Management

• Act as a senior point of contact for clients, internal stakeholders, fund administrators, custodians, and other service providers.
• Lead client service reviews and manage relationships, including onboarding of new funds and clients.
• Handle sensitive or complex investor and client queries.

Reporting & MI

• Own the preparation and review of operational metrics, including transaction volumes, AML/KYC statuses, reconciliations, and issue tracking.
• Deliver periodic reporting to senior management, compliance, and clients, highlighting risks, trends, and actions.

Qualifications & Experience

• Bachelor's degree (or equivalent) with 8+ years of Transfer Agency / Investor Services experience within a regulated financial services environment, including 2+ years of experience supervising or leading a team.
• Deep operational knowledge of investor onboarding, AML/KYC, dealing, cash processing, reconciliations, and investor reporting.
• Strong experience with transfer agency platforms and a track record of improving data quality and controls.
• Thorough understanding of AML/CFT requirements and regulatory expectations for investor services.
• Proven ability to manage competing priorities, lead people, and deliver in a deadline-driven environment.
• Excellent written and verbal communication skills, with confidence dealing with clients and senior stakeholders.
• Detail-oriented, risk-aware, and able to balance hands-on involvement with strategic oversight.

What Success Looks Like

• Within 90 Days: Build strong relationships with the team, clients and key stakeholders; develop a clear understanding of existing SLAs, controls and outstanding issues; and establish clear priorities for the team.
• Within 6 Months: Drive consistent delivery against agreed cut-offs and SLAs, ensure procedures and controls are regularly reviewed and effectively managed, and implement a reliable management information (MI) reporting cadence.
• Within 12 Months: Support positive audit and client due diligence outcomes, ensure remediation activities progress on schedule, deliver measurable process improvements, and establish development plans to support the team's growth.
• Ongoing: Build trusted client relationships and foster an engaged, high-performing team with a strong focus on collaboration, development and retention.