Senior Transfer Agent Services Analyst

FINRA • Milwaukee, WI

101d • $85,000 - $100,000 • Hybrid

About The Position

The Senior Transfer Agent Services Analyst plays a key role in overseeing the operations and performance of third-party transfer agent service providers and ensuring the delivery of high-quality shareholder services. This role requires strong analytical, operational, and communication skills to manage vendor relationships, monitor service levels, and support regulatory and board reporting. This position partners closely with internal teams and external service providers to support the transfer agent and shareholder servicing ecosystem. We currently operate in a hybrid working model, whereby you will be required to work in-office 3 days a week.

Requirements

• Bachelor's degree.
• 5+ years of experience in TA operations or shareholder services.
• Strong understanding of mutual fund operations and regulatory requirements.
• Proven experience in vendor oversight and service level management.
• Excellent analytical, communication, and organizational skills.
• Ability to manage multiple priorities in a fast-paced environment.
• Proficiency in Microsoft Office and workflow/reporting tools.
• Project management experience is a plus.

Nice To Haves

• Experience with stakeholder management and negotiation.
• Familiarity with BlueSky reporting and institutional investor services.
• Strong team collaboration skills.
• Experience with financial control and cash management.
• Ability to drive process improvements and implement change initiatives.
• Experience supporting audits and regulatory reviews.
• Experience with SS&C suite of transfer agent applications.

Responsibilities

• Oversee daily operations of transfer agent vendors (e.g., SS&C, NQR, Open Access, LexisNexis, May Advertising), ensuring compliance with service level agreements (SLAs) and key performance indicators (KPIs).
• Independently assess and resolve escalated and exception scenarios, balancing client expectations with operational, regulatory, financial and reputational risk.
• Oversee quality reviews of retail and institutional shareholder servicing activities, including call monitoring, correspondence, and transaction processing.
• Administer fund gain/loss reporting.
• Serve as a liaison between internal teams (Legal, Compliance, Sales, Risk, Fund Administration, Product, Distribution) and transfer agent providers to ensure accurate and timely service-delivery.
• Build and maintain strong cross-functional partnerships to support operational excellence.
• Collaborate with leadership to address workflow, audit, and regulatory challenges.
• Prepare materials for Fund Board presentations and maintain documentation for audits and regulatory reviews.
• Ensure compliance with internal policies and external regulatory requirements.
• Represent Transfer Agent Services in audit-related activities, including process improvement initiatives.
• Lead or contribute to process improvement, policy evaluation, and workflow optimization.
• Conduct end-to-end reviews of business processes to identify opportunities for simplification and increased efficiency.
• Champion a culture of continuous improvement and operational effectiveness.

Benefits

• Base Pay Range: $85,000 - $100,000
• Participation in an incentive program linked to performance (e.g., annual discretionary bonus programs, or other annual or non-annual incentive or sales plans).

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Executive, Legislative, and Other General Government Support
• Education Level: Bachelor's degree