Investor Services, Associate (BOS)
About The Position
The Investor Services Associate performs daily transfer agency (TA) operations, including investor onboarding, AML/KYC reviews, subscriptions, redemptions, switches, payment processing, cash and bank reconciliations, and investor record maintenance. The role requires accurate and timely delivery in accordance with procedures, cut-off times, and service-level agreements, as well as investigating operational issues and responding to client queries. The associate collaborates with colleagues across locations and time zones as part of a global operating model. The position supports AML/KYC and regulatory controls by conducting due diligence, maintaining complete documentation, and assisting with ongoing monitoring and remediation. It also applies operational controls, identifies errors and process gaps, maintains accurate data in transfer agency systems, coordinates with internal and external stakeholders, responds to client and investor questions, and helps prepare operational metrics and periodic reporting. Success involves learning the firm’s procedures and systems, progressing to independently managing daily TA activities and reviews, becoming a trusted contact for stakeholders, and consistently maintaining accurate, complete, audit-ready documentation.
Requirements
- Bachelor's degree or equivalent.
- At least 3 years of hands-on Transfer Agency or Investor Services experience within a regulated financial services environment.
- Strong operational knowledge of investor onboarding, AML/KYC, dealing, cash processing, reconciliations, and investor reporting.
- Experience with transfer agency platforms and a strong focus on data quality and controls.
- Working knowledge of AML/CFT requirements and regulatory expectations for investor services.
- Ability to work independently, manage daily workloads, and prioritize in a deadline-driven environment.
- Strong written and verbal communication skills.
- Detail-oriented and risk-aware, with comfort in a hands-on, transaction-focused role.
Responsibilities
- Execute daily transfer agency activities, including investor onboarding, AML/KYC reviews, subscriptions, redemptions, switches, payment processing, cash and bank reconciliations, and investor record maintenance.
- Meet transaction cut-off times, procedures, and service-level agreements while ensuring accuracy and completeness.
- Investigate and resolve operational issues, discrepancies, and client queries, escalating when needed.
- Collaborate with colleagues across locations and time zones, including through handovers and shared processes.
- Perform and review AML/KYC due diligence in accordance with applicable laws, regulations, sanctions requirements, and internal policies.
- Maintain complete, up-to-date documentation in transfer agency systems and support ongoing monitoring and remediation.
- Apply operational controls, including four-eyes checks, validation controls, and reconciliations.
- Identify operational errors, breaches, or process gaps and support corrective actions.
- Support the maintenance of written procedures and adherence to documented workflows.
- Operate and maintain transfer agency and investor record-keeping systems, ensuring data accuracy and integrity.
- Serve as an operational point of contact for internal stakeholders, fund administrators, custodians, and other service providers.
- Respond to client and investor queries about transactions, documentation, and reporting.
- Assist in preparing operational metrics and periodic reporting for internal management, compliance, or clients.
Benefits
- Discretionary annual bonus based on personal, team, and Firm performance.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
