Senior Transfer Agent Regulatory Operations Analyst

Allspring Global Investments Holdings, LLC • Milwaukee, WI

86d • $80,000 - $90,000 • Hybrid

About The Position

The Senior Transfer Agent Regulatory Operations Analyst plays a critical role in supporting transfer agent oversight, regulatory compliance, audit readiness, and complex shareholder servicing activities. This role focuses on subject-matter expertise, issue resolution, and cross-functional coordination. We currently operate in a hybrid working model, whereby you will be required to work in-office 4 days per week.

Requirements

• Bachelor’s degree.
• 8+ years in TA oversight with focus on regulatory operations.
• Strong knowledge of mutual fund operations and regulatory requirements.
• Familiarity with BSA/AML, Reg S-P, Identity Theft/Red Flags, and escheatment.
• Experience with subpoena review and response, court orders, and complex shareholder servicing.
• Strong analytical, communication, and documentation skills.
• Demonstrated ability to manage complex issues independently.
• Excellent communication, negotiation, and critical thinking skills.
• Remain in stationary position for prolonged periods of time
• Operate computer programs and software
• Ability to communicate effectively with audiences in person and in electronic formats
• Day-to-day contact with others (co-workers and/or public)
• Ability to work in a collaborative business environment in close quarters with peers and varying interruptions.

Nice To Haves

• Experience with third‑party transfer agents such as SS&C.
• Vendor risk management experience.
• Understanding of fund structures.
• Proven ability to deliver clear, compelling oral and written presentations to diverse audiences, including senior leadership and external partners.
• Highly organized and diligent, with a proactive and self-motivated approach to problem-solving.
• Flexible and adaptable, with a positive attitude toward change and the ability to manage shifting priorities and workloads.

Responsibilities

• Serve as a key liaison with Legal, Compliance, and Audit on transfer agent matters.
• Coordinate responses to subpoenas, court orders, liens, fiduciary matters, and related inquiries.
• Support internal and external audits, including documentation, testing coordination, and remediation tracking.
• Maintain and enhance policies, procedures, and governance documentation supporting TA compliance.
• Support AML program activities including audits, CIP/CDD escalations, and suspicious activity reviews.
• Assist with Reg S-P privacy updates, annual notices, and documentation controls.
• Contribute to business risk assessments, fraud analysis, and control enhancement initiatives.
• Independently analyze and resolve complex escalations, exceptions, and shareholder issues.
• Monitor and support transfer agent service delivery and adherence to SLAs and controls.
• Participate in and support business unit risk assessments, including data gathering, analysis, documentation, and coordination with Risk and Compliance partners.
• Identify fraud, risk, and control trends, emerging issues, and recommend enhancements for management review.
• Execute compliance updates, including research, documentation, and coordination with service providers and internal stakeholders to ensure adherence to regulatory requirements.
• Independently resolve issues and support escalation processes, ensuring risks are clearly identified, documented, communicated, and tracked through remediation in accordance with established controls and timelines.
• Participate in workflow optimization, technology enhancements, and process simplification initiatives.
• Support onboarding of new products or services from a TA operations perspective.

Benefits

• Base Pay Range: $80,000 - $90,000
• competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary bonus programs, or other annual or non-annual incentive or sales plans.)

What This Job Offers

• Job Type: Full-time
• Career Level: Senior