Head of Transfer Agent Oversight – Americas
About The Position
PIMCO is seeking an experienced leader to serve as Head of Transfer Agent Oversight – Americas. This role is responsible for the governance, oversight, and continuous enhancement of PIMCO's transfer agency oversight model across U.S. and Canada registered funds, ETFs, closed-end funds, interval funds, collective investment trusts, and other pooled investment products. The successful candidate will lead PIMCO's oversight of transfer agents and related service providers, ensuring high standards of operational performance, risk management, regulatory compliance, business resilience, and investor servicing. As the primary business owner for transfer agent oversight activities, this individual will work closely with fund administration, product strategy, client-facing/distribution teams, legal, compliance, risk management, technology, and external service providers to strengthen controls and enhance service quality. The role will also lead strategic initiatives related to operating model enhancements, regulatory developments, vendor management, and technology transformation, including the practical application of AI-enabled tools to improve oversight, monitoring, and decision-making.
Requirements
- Bachelor's degree required; advanced degree and/or relevant industry certifications preferred.
- Deep knowledge of transfer agency operations, shareholder servicing, intermediary distribution models, and fund operating structures.
- 10+ years of experience in asset management, transfer agency, fund administration, fund operations, service provider oversight, or related disciplines.
- Strong understanding of U.S. registered investment companies, ETFs, closed-end funds, interval funds, and collective investment trusts.
- Demonstrated experience overseeing third-party service provider relationships and vendor governance programs.
- Experience managing operational risk, driving process improvement, and initiating technology-enabled change.
- Ability to exercise sound judgment, balance competing priorities, and operate effectively in a fast-paced environment.
Nice To Haves
- Exceptional leadership, organizational, and relationship management skills.
- A strategic mindset combined with strong execution capabilities.
- The ability to collaborate effectively across senior stakeholders and cross-functional teams.
- A continuous improvement mindset and enthusiasm for leveraging technology/AI to enhance business processes and oversight practices.
- Unwavering integrity, accountability, and commitment to delivering outstanding outcomes for clients and stakeholders.
Responsibilities
- Lead the transfer agent oversight team/function across the Americas, establishing strategic priorities, ensuring execution of key objectives, and driving effective resource allocation across internal teams and service providers.
- Establish and maintain relationships with key executives at transfer agents and other, related service providers.
- Lead vendor service review meetings; evaluate performance against contractual obligations, service-level agreements and key performance indicators; provide reporting to senior management and governance committees.
- Ensure transfer agency operations comply with applicable regulatory requirements, fund policies, prospectus disclosures, and servicing standards, partnering with senior team members in legal and compliance. Assess the operational impact of regulatory developments and lead implementation efforts.
- Oversee vendor due diligence, including operational, financial, technology, cybersecurity, and business continuity assessments.
- Build and maintain strong partnerships across operations, product strategy, client-facing/distribution, compliance, legal, risk management, technology, finance, and portfolio management.
- Collaborate with colleagues across EMEA and APAC to promote consistent oversight standards and best practices.
- Oversee key transfer agency activities, including cash management, shareholder and intermediary servicing, regulatory document delivery, and related control processes across US, Canada, and LatAm operations.
- Maintain monitoring programs to identify and address operational risks, service issues, control deficiencies, and emerging trends. Oversee root cause analysis and remediation efforts to address identified control weaknesses and operational risks.
- Lead the escalation, investigation, and resolution of significant operational incidents and service delivery issues.
- Partner with risk management, compliance, legal, and internal audit to strengthen the control environment and promote operational excellence.
- Drive process improvement, automation, and operating model enhancements to improve efficiency, scalability, and service quality.
- Partner with technology and operations teams to enhance data quality, reporting capabilities, workflow automation, and operational resilience.
- Promote a technology-forward approach to strengthen oversight and execution
- Identify industry best practices and emerging risks to continuously enhance the transfer agent oversight program.
- Collaborate with product strategy, wealth management, legal and compliance teams to strategize new product ideas and their implementation with TAs and distribution partners
Benefits
- Base salary and a discretionary bonus
- Total compensation approach
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What This Job Offers
Job Type
Full-time
Career Level
Senior
